Securities Arbitration & ADR

Our attorneys are nationally recognized by their clients, peers, adversaries and securities industry regulators for their experience and expertise in securities arbitration at FINRA and other self-regulatory forums, and in mediation and other alternative dispute resolution forums.

In addition to successfully arguing the seminal United States Supreme Court cases that established securities arbitration as the primary forum for investor disputes, Murphy & McGonigle attorneys have decades of experience representing most of the major investment banks and broker-dealers and have arbitrated -- through full hearing -- hundreds of securities arbitrations throughout the United States involving complex sales practice, trading, banking, employment, operational and other matters, with damage claims as large as one billion dollars.

Looking Forward

The last quarter of 2018 saw significant volatility and declines in all major equity indices. Fixed income investments also experienced declines in 2018 as interest rates increased, driven by the Federal Reserve’s rate hikes. These developments will inevitably lead to increases in arbitration filings against brokerage firms by investors seeking to recoup their losses. In addition, a large number of hedge funds performed poorly in 2018, and we have seen an uptick in complaints by funds against their prime brokers relating to portfolio margin and other trading issues. After many years in which the number of new securities arbitrations filed remained flat or declined, the number of customer cases filed in 2018 increased, and looking forward we expect 2019 to be a far busier year for securities arbitrations.