Securities Arbitration & ADR

New York, NY

Phone: (212) 880-3622
Cell: (347) 640-1914

New York, NY

Phone: (212) 880-3583
Fax: (212) 880-3998

Washington, DC

Phone: (202) 661-7039
Fax: (202) 661-7059

New York, NY

Phone: (212) 880-3964
Fax: (212) 880-3998
Cell: (917) 275-5805

New York, NY

Phone: (212) 880-3982
Fax: (212) 825-9828
Cell: (646) 891-7905

New York, NY

Phone: (212) 880-3978
Fax: (212) 880-3998
Cell: (347) 949-2054

Washington, DC

Phone: (202) 661-7017
Fax: (202) 661-7059
Cell: (202) 480-5278

New York, NY

Phone: (212) 880-3975
Fax: (212) 880-3998
Cell: (347) 758-2295

New York, NY

Phone: (212) 880-3977
Fax: (212) 825-9828
Cell: (347) 899-0524

Washington, DC

Phone: (202) 661-7033
Fax: (202) 661-7059
Cell: (202) 680-4902

Richmond, VA

Phone: (804) 762-5370
Fax: (804) 762-5366
Cell: (347) 899-0434

New York, NY

New York, NY

Phone: (212) 880-3580
Fax: (212) 880-3998
Cell: (203) 984-8256

New York, NY

Phone: (212) 880-3980
Fax: (212) 825-9828
Cell: (347) 899-0544

New York, NY

Phone: (212) 880-3963
Cell: (646) 522-2376
For more information visit Our Team page.

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.