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

Securities arbitration at FINRA will continue to be the primary forum for the resolution of investor disputes with broker-dealers, notwithstanding attempts by the CFPB and others to eliminate pre-dispute arbitration agreements or otherwise limit the arbitration process. Such attempts were rebuffed this year, similar to other attempts since the U.S. Supreme Court in Shearson/American Express v. McMahon upheld such agreements 30 years ago. Recent years have seen a general decline in both the number of investor arbitrations filed as well as the number that went to hearing. At some point this unprecedented bull market will end, at which point we anticipate the number of filings will increase dramatically, especially by senior investors, given the demographics and recent increased focus by FINRA and state regulators.