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FINRA Arbitrations

NJ Attorneys Serve Brokers in FINRA Proceedings

Capable legal representation at arbitration, mediation and disciplinary hearings

When a broker hears from the Financial Industry Regulatory Authority (FINRA), it’s rarely good news. FINRA’s mission to protect investors and uphold the integrity of the securities market is necessary, even laudable, but an overzealous investigation can be ruinous for a broker. FINRA can void trades — causing a broker to lose commissions and bonuses — mete out stiff fines and seize licenses. Before you talk to FINRA, talk to Deutsch Atkins & Kleinfeldt, P.C. As one Northern New Jersey’s largest and most successful employee rights law firms, we have ample experience in FINRA hearings, arbitrations and mediation. We represent you aggressively to protect your compensation, your license and your reputation.

How FINRA operates

FINRA is not a government agency. It is an independent nonprofit organization that Congress has authorized to protect investors by ensuring that the securities industry operates honestly. FINRA promulgates rules for securities firms and brokers, and enforces those rules. In 2013, FINRA brought more than 1,500 disciplinary actions against registered brokers and firms, levied more than $65 million in fines and ordered the payment of $9.5 million in restitution. FINRA also referred 660 allegations of fraud and insider trading to the Securities and Exchange Commission for investigation.

Brokers can run afoul of FINRA when they mislead investors about securities products, fail to disclose securities information that is material to an investor, inaccurately record trades or do not execute trades according to an investor’s wishes. Brokers may also find themselves in conflict with their own firms over trades, commissions and bonuses. FINRA claims can be difficult to defend, since the limitations period is six years, and much evidence can be lost in so long a time.

Aggressive representation in FINRA disputes

At Deutsch Atkins & Kleinfeldt, our employment attorneys take FINRA proceedings very seriously. We counsel you through every stage of the investigation and represent you in arbitration and mediation for:

  • Disputes with investors — If a disgruntled investor challenges your handling of a trade or an account, we place all the resources of our firm behind you. We defend you in arbitration as we would if the case were brought to trial. In mediation, we work toward fair solutions that minimize any disruption to your career activities.
  • Disputes between brokers and brokerage firms — Disputes within the industry can often be more detrimental to a broker’s career. We work hard to protect your rights and your reputation, without burning bridges.

Get capable representation in New Jersey and New York for addressing FINRA claims

A FINRA dispute can be devastating for a securities broker. If you face arbitration or mediation with an investor or your brokerage firm, call Deutsch Atkins & Kleinfeldt, P.C. at 551-245-8894 or contact us online. Our attorneys serve clients in Northern New Jersey, including Hudson, Morris, Passaic and Bergen counties, and New York City.

Neil  H.  Deutsch Attorney Photo
Neil H. Deutsch

Neil H. Deutsch has been practicing law for over 35 years and is known as a skilled negotiator in employment and discrimination law. He believes in a bottom-line approach of risk analysis and cost effectiveness for his clients. "Case evaluation is something we take seriously," says Mr. Deutsch who seeks top net dollar for his…

Bruce  L.  Atkins Attorney Photo
Bruce L. Atkins
Senior Partner

Bruce L. Atkins is the Senior Managing Partner at Deutsch Atkins & Kleinfeldt P.C., a prominent plaintiff employment law firm in the tri-state area. Mr. Atkins believes employees’ rights should be aggressively pursued when they’ve been wrongfully dealt with by their employers. He brings this philosophy to his practice when considering each case and its…

Adam  J.  Kleinfeldt Attorney Photo
Adam J. Kleinfeldt

Adam J. Kleinfeldt joined Deutsch Atkins & Kleinfeldt, P.C. in March of 2015.  He primarily represents individuals in employment litigation such as discrimination, retaliation and whistle blowing matters. He has extensive experience in all phases of the litigation process. Adam has obtained significant results for his clients, including a $525,000 jury verdict in a sexual…

Debra M. McGarvey Attorney Photo
Debra M. McGarvey

Debra M. McGarvey joined Deutsch Atkins & Kleinfeldt, P.C. in December 2019. She has extensive experience defending employees and employers in state and federal court in employment litigation matters. She has represented clients on various issues arising out of the New Jersey Law Against Discrimination (NJLAD), the New Jersey Conscientious Employee Protection Act (CEPA), the…

Carly Skarbnik Meredith Attorney Photo
Carly Skarbnik Meredith

Carly Skarbnik Meredith, Esq. is a Partner at the firm. Carly has focused her career exclusively in the field of employment law. She has a plethora of experience representing both employees and employers with their employment issues, needs, and concerns. She believes representing both employees and employers has made her an extremely well-rounded client advocate.…


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