Securities Arbitration & Litigation Attorneys

What Is Securities Arbitration?

Arbitration is a final and binding alternate dispute resolution forum to resolve disputes between investors and their financial advisers/brokerage firms. Instead of judges or juries, arbitrators decide if wrongdoing occurred and if so, how to compensate you for it.  When the arbitration is over, the decisions of the arbitrators are final. If you are unhappy with the result, you cannot appeal to court to reverse the decision. The arbitrators’ decisions can only be vacated under very limited circumstances — for example, if you can prove arbitrator bias or fraud in the arbitration proceeding. Courts are reluctant to overturn arbitration awards, so it is imperative that your case is presented in the best way possible.

We Have Decades Of Experience When It Comes To Securities And Arbitration Matters

At Mihalek Law, our attorneys have more than 50 years of combined experience representing investors and retirees in securities arbitration and litigation matters.

Founding attorney Charles Mihalek started his career working on Wall Street, and our firms’ insider understanding of the industry allows us to provide clients in Lexington, Kentucky, and throughout the country with the strong representation they need against their stockbroker and the broker/dealers for whom they work. We represent clients in a range of securities and arbitration matters, involving:

  • Misrepresented investments
  • Unauthorized trading
  • Ponzi schemes
  • Excessive margin trading
  • Excessive markups and markdowns
  • Non-traded REITs
  • Omissions of material facts
  • Unsuitable recommendations
  • Theft of funds — unauthorized transfers

Can I Sue My Stockbroker?

The mere fact that you lost money in the stock market does not necessarily mean that your financial adviser is responsible for your losses; however, he may be.

You must have a legal claim against the broker — and we can help you determine if you have a viable claim, and if so, present it in court or arbitration.

If you have a brokerage account, you probably signed an agreement that requires you to resolve any disputes with your broker through arbitration rather than the courts. You may have questions such as “Why can’t I sue my stockbroker?” We can help!

Time Is Of The Essence. Contact Us Today.

Protect your legal rights — take legal action promptly or you may lose the right to seek a remedy or recover funds. Time restrictions, called “statutes of limitations,” vary from state to state and from claim to claim. We can help protect your rights and resolve your financial well-being. Learn more about the legal counsel our lawyers provide by scheduling a free consultation. Contact our experienced attorneys to discuss your options through our contact form or by calling 859-233-1805

If you believe you may have a claim against your stockbroker or financial adviser, contact us online or call us at 859-233-1805 to speak with a Securities Attorney. MihalekLaw provides representation throughout the country.