FINRA Arbitration Cases Increases

The volume of FINRA arbitration cases continues to swell, with a than 40% increase in 2009 over the previous year. With markets in flux and tough commercial conditions, broker/dealers increasingly face allegations concerning breach of fiduciary duty, carelessness, misrepresentation, unsuitability, break of contract, and neglecting to control. Those firms that also offer financial planning services find themselves far more at the mercy of claims.

These kinds of actions put companies at great hazard and are extremely disruptive "even if the company mounts a successful defense. In this highly controlled financial arena, experience and industry knowledge count.

Skjold Parrington regularly represents money institutions, broker-dealers, third party administrators, insurance brokers, registered delegates, and other financial execs in FINRA arbitrations and other securities disputes.

Our experience and extensive awareness of the finance industry, including lawyers whose backgrounds include a previously approved Series 7/63 holder and authorized public accountant, give us "insider" knowledge of industry practices and the complex statutes, rules and regulations governing this often-volatile industry. Attorneys serving as Qualified Neutrals also offer their comprehension of the applicable processes surrounding mediation and settlement.

Skjold Parrington represents broker/dealer setups in FINRA matters, additional money entities in securities-related actions, and serves as local counsel for diverse entities requiring value-based support for multi-jurisdictional matters. Our experience encompasses a wide range of FINRA arbitration and instruments disputes, including:

Asset Grant
Breach of Fiduciary Duty
Churning
Disciplinary Actions and Wells Submissions
Worker Stock Options
Unjustifiable Activity
Margin Trading
Misrepresentations & Omissions
Retirement Fund Crime
On the record interviews
Over-Concentration
Ponzi and Pyramid Operations
Non-public Placements
Supervision
Unapproved Trading
Unsuitability

The business counsels of Skjold Parrington also realize that regularly the safest defense is a solid offense, and we work closely with company management to develop compliance programs to lessen risk and lay the groundwork for correct defense against potential actions.

Thru suitable resource allocation and the utilization of advanced technologies, Skjold Parrington delivers highly efficient and cost-effective legal proceedings services. Our scalable legal action model allows us to engage further resources as required for large, complex or multi jurisdictional matters "without concerns of overhead or billable hours influencing crucial decision making processes.

This text I have posted is about FINRA arbitration cases and you can also check the stocks arbitration .

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