Practice Areas

FINRA Arbitrations

LLFW has extensive experience handling FINRA arbitrations, having represented financial institutions in multiple arbitrations involving a wide variety of claims.  LLFW has, for example, defended financial institutions against suitability claims in FINRA arbitrations brought by both retail and institutional customers.  It has also defended financial institutions against employment-related claims in arbitrations brought by former employees of the institution.  LLFW also has experience with expungement matters. 

As a recent example of its experience with FINRA arbitrations, LLFW represented the prime brokerage division of a major financial institution in an arbitration brought by an investor against the prime broker, among others, for its allegedly negligent execution of certain multi-million dollar mutual fund trades initiated overseas.