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For Financial Advisors & Brokers
Legal Counsel from Port St. Lucie Securities Arbitration Lawyers
If you are a financial advisor or broker who faces allegations of wrongdoing, you may need to be defend your reputation and your career through securities arbitration proceedings. You might even face criminal charges. Our Port St. Lucie firm is committed to helping financial advisors, brokers, and brokerage firms protect their rights.
Our lawyers at Crary Buchanan have decades of experience handling securities arbitration. With AV® rated attorneys on our legal team, you can expect our professionalism to meet the highest standards. Our firm boasts outstanding, aggressive legal representation that is tailored to each client. You can be confident in a firm with 85 years of excellent service to the Treasure Coast.
Call (888) 899-8161 or request a case evaluation today!
Preparing for the Securities Arbitration Hearing
If you are a financial advisor or broker who has been served with a claim, you will need to respond with your answer and state a defense. In your defense, you will need to provide all the relevant facts and be as specific as possible. Arbitration also allows for prehearing “discovery”, which is generally limited to exchange of documents. Each side is required to furnish the other party with any needed documentation, within reason.
The Securities Arbitration Hearing Process
Whether the allegations against you involve churning, negligence, overconcentration, unauthorized trading, fraud, or any other type of misconduct, the arbitration process will always be the same.
For respondents to an arbitration claim, the process could proceed as follows:
- The claimant presents evidence and any witness testimony.
- You or your attorney can cross-examine the claimant.
- You or your attorney present a defense through evidence and witnesses.
- The claimant’s side is allowed to cross-examine you.
- The arbitrator(s) can then question both parties.
The hearing will then adjourn, and the panel will discuss the evidence and an award. This award is legally binding. It can only be challenged in the event that due process was not followed during the arbitration hearing.
Don’t try to traverse this intricate process alone. Success in these disputes will require an understanding of FINRA regulations and all other applicable laws and procedures at both the state and federal level. It is crucial that you have a knowledgeable attorney at your side throughout arbitration, someone who can ensure that your rights are upheld to the fullest extent of the law.
Helping Brokers and Financial Advisors in Port St. Lucie, Florida
If you are facing securities arbitration proceedings because an investor has filed a claim against you, you may face paying a hefty award if the case goes in the investor’s favor. You may also be banned from working in the securities industry permanently or for a certain amount of time. Your career may never recover from a claim that alleged misconduct of any kind.
As a broker or advisor, you have the right to hire an attorney to represent your interests in these proceedings. If you would like to ensure that your case is presented intelligently and aggressively, you should choose a firm that has experience in this complex field. At Crary Buchanan, we have been trusted to deliver world class representation since 1927. You can depend on our Port St. Lucie securities arbitration lawyers.
Contact Crary Buchanan today to discuss your rights and options!
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