Securities Litigation, Arbitration and Mediation
The majority of stockbroker disputes are resolved through arbitration before the Financial Industry Regulatory Authority (FINRA). Disputes with investment advisors may, however, have to be arbitrated in a different forum, such as the American Arbitration Association (AAA). Securities disputes can also be resolved through mediation or in court. For additional information visit the "securities litigation, arbitration and mediation" section or the “Frequently Asked Questions (FAQ)” section of this site.
Securities disputes frequently involve complex issues that require an in depth knowledge of both securities law and industry practices. The Alcala Law Firm has handled claims involving a wide variety of securities products including the following:
The Alcala Law Firm has pursued securities disputes against major brokerage firms, smaller firms and investment advisory firms through litigation, arbitration and mediation. For a representative listing of firms click here.