Securities Litigation against Financial Planners

Learn more

$19.9 Million Unsafe Drug Settlement
$6.2 Million Worksite Injury Verdict
$3.75 Million Multi Vehicle Accident Settlement
$3+ Million Mesothelioma from Asbestos Settlement
$2.4 Million Wrongful Death Settlement
$1.6 Million Wrongful Death Settlement
Request a Free Consultation

Lawyers Focused on Your Recovery

Thousands of Successful Cases in State and Federal Court

Expertise in Many Different Personal Injury Case Areas

Request a free consult

Unlike in other industries and surrounding other tort issues, lawsuits involving securities fraud and broker misconduct are generally not resolved through trial by jury, mostly due to the fact that brokerage firms require customers to sign away that right before engaging the services of the brokerage firm. Instead, most securities industry lawsuits are arbitrated and mediated by FINRA, or the Financial Industry Regulatory Authority, the largest independent securities regulator of all securities firms in the US. FINRA’s mandate is “to protect investors by maintaining the fairness of the US capital markets.” They’re the industry watchdog, and in situations of dispute, they step in to mediate, arbitrate, award restitutions, and sanction or fine rogue brokers and firms. ### FINRA Arbitration vs Mediation FINRA Disputes can take one of two courses: arbitration or mediation. **Arbitration** Arbitration involves a process by which the interested parties select a neutral, third-party to listen to arguments, review evidence, and ultimately arrive at a decision on the matter at hand. By arbitrating your claim, you forego the right to take the same claim to court, and decisions rendered by the arbitrator in a FINRA dispute are final and legally binding. **Mediation** Mediation is different. In mediation, the same parties would submit to an informal, voluntary, non-binding process that is intended to help them reach a mutually acceptable resolution, and thus if possible, avoid arbitration or court. Here’s a more extensive side-by-side comparison chart provided by FINRA: include chart image ### Finding a Qualified FINRA Litigation Attorney Investors who have been the victim of broker misconduct or securities fraud generally avail themselves of the services of a qualified attorney before entering a FINRA Dispute. Since FINRA Disputes are specialized proceedings, it’s best to find an attorney who has considerable experience in this particular practice area. ### Philadelphia Securities Attorneys If you or someone you know has been the victim of investment fraud or broker misconduct, please contact our securities attorneys immediately for a free consultation at 215-462-3330 or by using our online contact form.
Request a Callback


See some of our personal injury settlements.

See Injury Settlements Here
Notable Injury Settlements | Green and Schafle

Meet Adam Green

Adam is a founding partner and passionate trial lawyer devoted to nursing home litigation, securities and car accidents

Meet Adam
Adam Green Lawyer | Green and Schafle Phiadelphia

Meet Michael Schafle

Michael is a founding partner and the firm’s defective product and unsafe drug mass tort litigator

Meet Michael
Michael Schafle Lawyer | Green and Schafle Phiadelphia
Green & Schafle Client Feedback ()

Back to top
On This Page ×

What is the VICP? How does the VICP Work? What Vaccines are Covered by the VICP? How to File a Petition? Who Can File a Petition? What are the VICP Petition Steps? Do You Need a Lawyer to File a VICP Petition? What are the VICP Vaccine Injury Severity Requirements? What are the VICP Statute of Limitations? What are Vaccine Injury Settlements and Payouts?
Back to top