New Jersey & New York FINRA Arbitration Regulatory and Enforcement Attorneys

The Law Office of Lubiner, Schmidt & Palumbo provides effective and experienced legal representation for matters of securities arbitration, specifically FINRA arbitration. Given the nature of arbitration and the legal consequences of an arbitration award, it is imperative that a well-informed New Jersey securities arbitration attorney represents you throughout the process.

Generally, arbitration is an alternative dispute resolution proceeding, differing from the traditional lawsuit. Instead of resolving a matter in court and decided by a judge or jury, a securities arbitration proceeding is decided by a pane of one to three arbitrators. Most of these arbitrations are held before FINRA, the financial industry self-regulatory organization.

Arbitration of broker-dealer disputes is a prompt and inexpensive means of resolving complicated issues. There are specific laws that govern the conduct of an arbitration proceeding from bot the federal government and the various states. One of the most important legal aspects of arbitration is that arbitration awards are final and binding. A court only has authority to review arbitration awards on a very limited basis. It also means that parties participating in arbitration, as a means of resolving a dispute, generally given up their right to pursue the matter through the traditional court system.

The law offices of Lubiner, Schmidt & Palumbo has defended firms, financial advisors, and private investors for the past 30 years. If you are a Firm or Advisor facing arbitration or litigation relating to the securities industry, contact us immediately for a consultation.

Our New Jersey securities arbitration lawyers have years of experience in industry related employment and reporting issues such as U-4 orU-5 disclosures, registered representative agreements, and forgivable loans. We have also assisted individuals with the transition to a new firm. Specifically, with the uncertainty and potential exposure of the transition process, including but not limited to, breach of restrictive covenants such as non-solicitation non-compete and confidentiality agreements.

For more information about the securities arbitration process itself and how a New Jersey securities arbitration attorney an assist you throughout the process, please call the law offices of Lubiner, Schmidt & Palumbo, LLC at 908-709-0500. We will engage in a confidential discussion regarding your potential claims. Our firm’s practice has been dedicated to Securities Arbitration and Litigation for the last three decades. Let us put our experience to work for you.

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