Early engagement of experienced and skilled arbitration counsel can result in lower costs, minimized risks and maximized chances of a more favorable outcome.

This firm is dedicated to the aggressive and efficient prosecution and defense of arbitration claims of all types brought by or against our broker-dealer clients, their managers, executives and financial advisors in all possible forums (e.g., FINRA, NYSE, AAA, JAMS) and involving all possible claims. We have extensive experience over more than 25 years involving a wide variety of claims, investment products and business matters with a long-developed proficiency defending against claims brought by retail customers and institutional investors; moreover, we also have three decades of experience in the efficient handling of intra-industry disputes (disputes in which claims are brought by financial services firms and/or advisors against other members of the financial services industry), often involving multiple parties and multiple law firms in multiple states.

We economically manage all aspects of securities arbitration disputes, from the filing of the initial statement of claim or demand for arbitration through the appointment of arbitrators, the pre-hearing discovery process (including electronic discovery), interviewing clients and potential witnesses, making and defending motions, preparing witnesses (including expert witnesses) to testify, conducting the evidentiary hearings and dealing with any post-hearing proceedings (motions to confirm or vacate). In appropriate cases, we also manage the mediation process and drafting comprehensive and beneficial settlements. We take care to discuss the scope of proceedings, the necessary (and the merely desirable) steps to follow and the cost/budget for each step in light of the client’s financial constraints and the potential risk exposure. As long-experienced FINRA lawyers we are perfectly placed to guide our clients through the shoals of common pitfalls in arbitration while minimizing inefficiency and cost and maximizing the chances of favorable outcomes. To find out more, call or email to schedule an appointment for a free consultation. (212) 344-5666. tcampbell@tmc-law.com.