The Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers or "NASD") has exclusive jurisdiction to hear and to rule upon claims made by investors against their financial advisors or securities brokers and financial service firms. These claims include fraud, suitability fraud, negligence, breach of fiduciary duty, breach of contract, front-running, churning, and other violations of federal securities laws and state Blue Sky laws.
In addition, FINRA rules on claims made between a securities broker or a financial advisor and a member organization, including the enforcement of non-competition agreements, violations of confidentiality agreements, the misuse or conversion of trade secrets, claims for wrongful termination, Form U5 defamation, and unfair or deceptive trade practices.
Securities arbitrations require specialized knowledge about the financial markets, investment products and the regulatory structure of the financial services industry. Lane Alton bring this unique base of knowledge to the defense or prosecution of securities claims along with a proven track record of success in FINRA arbitrations.
Based in Columbus, our securities defense attorneys practice throughout Ohio. Learn more about our attorneys in this practice group below or contact us for assistance with a referral to a Lane Alton attorney who can assist with your legal matter.