FINRA Arbitration Primer - Part 5 of 8 | FINRA Arbitration Lawyer

What to Expect from a Trial with a FINRA Arbitration Lawyer

After the arbitrators are chosen for your FINRA arbitration case there will be a conference call among the arbitrators and the FINRA arbitration lawyers for the parties. The final hearing (trial) dates for your case will be scheduled during the call and various discovery deadlines will be scheduled as well.

At this point it will be time for discovery. As we previously mentioned, there generally are no depositions in FINRA arbitration. The bulk of discovery is in the form of document production. FINRA has lists of documents that investors and brokerage firms are expected to produce to each other in every case. Parties also are permitted to request additional documents from each other.

Typical documents produced by the parties include communications between the broker and the investor, internal notes about the investor’s account, marketing and research materials about the investments at issue, the brokerage firm’s supervisory and compliance records regarding the broker and the investor’s account, and the investor’s tax returns and other financial records.

Why Hire a FINRA Arbitration Lawyer?

As with arbitrator selection, it is important that investment fraud victims hire an experienced FINRA arbitration lawyer. Brokerage firms and their lawyers are well versed in securities industry business practices and the types of documentation that typically exists. If you do not know what to ask for and are unaware of the types of records might exist that could help prove your claims, you run the risk of not obtaining the evidence that could help you win your case. A knowledgeable investment fraud lawyer will be aware of the types of documents that should be sought during the discovery process to help your case.

Do You Need a FINRA Arbitration Lawyer?

Dimond Kaplan & Rothstein’s FINRA arbitration lawyers have worked in the securities industry and they previously have represented brokerage firms. With our prior work experience and our many years of representing investors in FINRA arbitration cases, DKR’s stockbroker misconduct lawyers are well versed in type of discovery documents to uncover to help you recover your investment losses. Contact a DKR investment loss lawyer for a free case evaluation.


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