Why You Should Work With an Attorney When Facing FINRA Arbitration

If you work in the financial industry and the Financial Industry Regulatory Authority (FINRA) has named you as a respondent in a consumer-initiated arbitration, it’s natural to feel uncertain about what steps to take. While it may feel tempting to let your firm’s attorney handle this matter, it’s usually in your best interest to hire your own attorney. Let’s take a look at the key benefits of working with your own securities law attorney when facing FINRA arbitration.

Protecting Your Best Interests

Although your firm’s lawyer may appear to be on your side, it’s important to remember that their role is to serve the firm’s interests as a whole—not your individual interests. This means that the firm’s attorney may decide to settle the matter before it moves to arbitration, even if it means that the dispute information will tarnish your BrokerCheck profile, perhaps permanently if the firm settles for over $15,000. Don’t leave room for unfair disclosures to negatively affect your professional reputation—enlist the help of a securities law attorney who will look out for your best interests.

Helping You Navigate the Expungement Request Process

If an unfair or inaccurate disclosure has appeared on your BrokerCheck profile, you have the option of requesting an expungement. However, this process can be difficult to navigate, especially without the assistance of a knowledgeable securities law attorney. Unfortunately, attorneys representing your firm are looking out for the company’s best interests, so they may not consider pursuing expungement requests on behalf of individual brokers as their top priority. Increase your chances of obtaining a successful expungement request by working with your own securities law attorney.

Discuss Your Goals Today

Struggling with a FINRA arbitration or disclosure matter can be overwhelming. However, it’s important to recognize that you don’t have to go through this challenging process alone. Reach out to a trusted securities law attorney to discuss the specifics of your situation. Together, you can develop an effective legal strategy to maximize your chances of obtaining your desired outcome.


If you need help navigating a FINRA arbitration or expungement request, call Judex Law LLC today at (303) 523-4022 to discuss your options with a trusted securities law attorney.

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