These clinics help parties who have smaller claims and who are unable to hire a lawyer. Under the supervision of attorneys, law students will represent qualified parties in arbitrations and mediations before FINRA.
If you cannot afford an attorney, some law schools provide legal representation through securities arbitration clinics. The Office of Dispute Resolution staff members cannot provide specific recommendations for finding an attorney or other legal representation.
You should consider hiring an attorney to represent you during the arbitration or mediation proceedings to provide direction and advice. Even if you do not choose to hire an attorney, brokerage firms are generally represented by an attorney.
Call several bar associations to obtain a varied listing of lawyers in your area. Many lawyers will offer to consult with you initially for free or for a minimal fee. Broaden your list of potential securities lawyers by consulting directories of attorneys. The Martindale-Hubbell ® Law Directory can be found at many libraries or at its website.
The SEC provides the following advice on finding an attorney who specializes in resolving securities complaints.
The law schools listed below provide legal representation through securities arbitration clinics. These clinics help parties who have smaller claims and who are unable to hire a lawyer. Under the supervision of attorneys, law students will represent qualified parties in arbitrations and mediations before FINRA.
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The respective parties involved in a dispute voluntarily may elect to hire a third-party unbiased mediator. Mediators often have different areas of expertise, and they often have different styles.
When it comes to securities arbitration relating to investment loss issues, the process usually proceeds in the following way. First, a FINRAappointed arbitrator or panel of arbitrators will hear arguments from both parties in a dispute. Next, the arbitrator (s) will review the testimony along with documentary evidence and reach a decision.
Whether your dispute may potentially be resolved by way of mediation or arbitration, hiring the right attorney is an important first step for most investors to place themselves in the best position possible to maximize their potential recovery.
Before you begin to search for representation, it’s a good idea to consult An Investor’s Guide to Securities Industry Disputes, which is published by The PACE Law School Investor Rights Clinic. In addition, the Securities Exchange Commission (SEC) offers the following advice for individuals searching for a securities lawyer.
It’s important to keep your needs and preferences in mind when selecting a securities attorney, and it’s as well important to interview more than one attorney. During the interview process, it’s a good idea to ask the following questions: