Rochester FINRA Arbitration Lawyers
Turn to an Experienced Attorney at The Glennon Law Firm, P.C.
FINRA – the Financial Industry Regulatory Authority – is the Congress-authorized organization that handles securities and related employment disputes involving investors, brokers, brokerage firms, and customers. Disputes in this field are resolved through the nonjudicial proceedings of mediation or arbitration under special FINRA written rules. FINRA’s job is to ensure that the securities industry provides fair and ethical services and employment.
At The Glennon Law Firm, P.C., we have earned a reputation for successfully resolving FINRA disputes. With a thorough grasp of the laws affecting the securities and financial services industries, and related employment rules for non-compete, non-solicitation, and non-service agreements, we can provide the counsel you need in FINRA arbitration. We represent brokers, Associated Persons, Registered Investment Advisors, brokerage firms, and investors. We offer extensive legal experience in this field along with an outstanding reputation for commitment, diligence, and professionalism.
Types of Cases We Handle
Whether you are a stockbroker facing a legal situation or you are a customer who was hurt financially as a result of an employment dispute or of dishonesty or fraud, The Glennon Law Firm, P.C. is here to help.
We handle FINRA arbitration matters, taking on both industry and customer disputes involving:
- Promissory note disputes
- Bonus agreement disputes
- Recruitment bonuses
- Forgivable loans for financial advisors and stockbrokers
- Assistance for security industry professionals
During the arbitration process, a panel of either one or three neutral third-party arbitrators will be called to hear the case, review the evidence, and render a binding decision. If you are faced with a claim, controversy, or dispute that requires arbitration, we are the firm to call. At The Glennon Law Firm, P.C., our FINRA arbitration attorneys in Rochester have detailed knowledge of these cases that enables us to effectively represent you.