Imagine: you have worked hard and saved your hard-earned cash. Now, it’s time to invest. You have trusted your financial advisor to help you make the right investments and ensure your future. And then something goes wrong. You’re left wondering why your investments have plummeted. “How did this happen? Wasn’t my advisor supposed to prevent this?”
You are not alone. Many investors are in the same situation. It is true that even experienced advisors, such as Jeffrey Morris, Moloney Securities Co., Inc., may face accusations of negligence or unsuitability. Morris disputes a claim of $45,000 damages from a pending dispute with a customer dating back to 2021. What can you do as an investor in this situation? FINRA arbitration is the answer.
What is FINRA arbitration?
Think of FINRA (the Financial Industry Regulatory Authority) as a referee within the financial industry. It is an independent non-profit organization that Congress has authorized to protect American investors. FINRA ensures that the broker-dealer sector operates honestly and fairly. FINRA arbitrates disputes between an investor and a brokerage firm.
Arbitration is similar to a court case, but it’s less formal. The arbitration process is quicker and less expensive. It also has a binding and final decision. This is a way to help investors recover their losses, without the need for a long and expensive court process. But how does this work?
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How does FINRA arbitrate?
Imagine playing a game chess. Each player plans his or her next move strategically. In FINRA arbitrage, both the broker-dealer and the investor present their cases to a neutral, third party, called the arbitrator. The arbitrator examines the evidence and listens to the arguments before making a decision. The decision is binding and final, like a checkmate at chess.
If you’re in a dispute, FINRA arbitration may be your best option. But how effective is it?
Can investors really recover their losses?
Can a single drop of rain cause ripples in a pond or lake? Absolutely! Investors who have recovered their losses via FINRA arbitration have had similar success. FINRA alone awarded $64 Million in arbitration awards to aggrieved Investors in 2020.
Don’t give up hope if you have suffered a loss due to negligence or unsuitability. FINRA Arbitration could be the path to recovery. You’re not only trying to recover your losses but also ensuring the integrity of the financial industry.
Visit FINRA for more information on the arbitration process and FINRA. https://finra.org. Don’t let a financial setback deter you. With FINRA Arbitration, you can control your financial future.
