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Securities Fraud & FINRA Arbitrations

Securities fraud has been a rising issue since the recent financial collapse and recession. Disputes between financial institutions, traders, brokers, real estate investment companies and investors are taken very seriously given the potential for harm to several parties and ripple effects that can extend beyond the immediately interested parties.

In 2007, the Financial Industry Regulatory Authority (FINRA) was created to resolve disputes through arbitration or mediation. At Chester & Shein, P.C., we represent clients in relation to many securities fraud and regulatory compliance issues involving:

  • Broker negligence and wrongdoing
  • Breach of fiduciary duty
  • Broker defense
  • Broker recruiting
  • Broker registration
  • Stock manipulation
  • Unauthorized trading
  • Churning/excessive trading
  • Enforcement proceedings
  • Other issues concerning institutions, supervisors and fund managers

Our lawyers have years of experience handling arbitrations, mediations and regulatory issues. We represent clients in Arizona and the Southwest while also working with local counsel throughout the United States.

Investment Fraud Issues Require Experience and Reliability

Our partner attorney Mark Chester is a past chair of the Securities Regulation Section Executive Council of the State Bar of Arizona. Our firm represents clients before state and federal regulatory bodies, including the SEC, FINRA, NYSE and the Securities Division of the Arizona Corporation Commission.

We work with clients involved in investigations, prepare and file claims, represent clients in hearings, present compelling evidence and arguments, challenge all possible aspects of opposing cases, and strive for expedient resolution.

FINRA Arbitrations Attorneys | Serving Tucson, Phoenix, Flagstaff and the Southwest

Contact us at 480-447-1370 or via e-mail to schedule a consultation about your particular situation.