Understanding Securities Arbitration: A Strategic Approach by Bakhtiari & Harrison

When it comes to resolving disputes in the securities industry, securities arbitration has become a vital and preferred method for many investors and professionals. Bakhtiari & Harrison, a premier nationwide law firm, specializes in navigating these complex cases through arbitration as well as litigation, ensuring clients receive strategic, client-focused solutions.

What is Securities Arbitration?

Securities Arbitration is a process where disputes between investors and securities firms, brokers, or advisors are resolved outside of traditional court systems, typically through arbitration panels such as the Financial Industry Regulatory Authority (FINRA). This method is often faster, more cost-effective, and less formal than court litigation, making it an appealing option for those involved in the securities industry.

Arbitration involves a neutral third party or a panel that reviews the evidence and arguments from both sides before making a binding decision. In securities disputes, these cases can involve issues like fraud, misrepresentation, breach of fiduciary duty, unsuitable investment advice, and employment disagreements within the industry.

Why Choose Securities Arbitration?

The choice to pursue securities arbitration can be driven by several advantages:

• Efficiency: Arbitration tends to be quicker than the court system, providing faster resolutions to urgent matters.

• Expertise: Arbitration panels often consist of industry professionals who understand the complexities of securities law.

• Confidentiality: Arbitration proceedings are typically private, protecting sensitive business information.

• Cost-Effectiveness: Lower legal and administrative costs often make arbitration more affordable than prolonged court battles.

Bakhtiari & Harrison recognize these benefits and guide clients through the arbitration process with extensive knowledge and experience, helping them achieve the best possible outcomes.

The Role of Bakhtiari & Harrison in Securities Arbitration

At Bakhtiari & Harrison, the firm’s partners bring deep expertise in securities, employment, and regulatory matters, allowing them to handle arbitration and litigation with strategic precision. Their client-centric approach means every case is tailored to fit the client’s unique needs and objectives.

Whether you are an individual investor or a firm facing regulatory investigations or disputes, Bakhtiari & Harrison provides comprehensive representation. The firm excels in:

• Advising clients on the arbitration process and options available

• Preparing compelling cases supported by thorough evidence and legal research

• Negotiating settlements when appropriate to avoid prolonged disputes

• Representing clients effectively before arbitration panels or courts if litigation becomes necessary

Common Issues Addressed in Securities Arbitration

The securities industry is highly regulated and prone to disputes involving various complex issues. Some of the common matters addressed in securities arbitration include:

• Fraud and Misrepresentation: When investors are misled about the risks or nature of an investment.

• Unsuitable Investments: Cases where brokers recommend investments inappropriate for the client’s financial goals or risk tolerance.

• Breach of Fiduciary Duty: When advisors fail to act in the best interest of their clients.

• Employment Disputes: Issues involving wrongful termination, discrimination, or contractual disagreements within brokerage firms.

• Regulatory Violations: Cases involving violations of securities laws and regulations.

Bakhtiari & Harrison’s comprehensive knowledge of these areas allows the firm to deliver creative and effective solutions to complex disputes.

Arbitration vs. Litigation: Which is Best?

While securities arbitration is often preferred for its efficiency and expertise, some cases may require litigation in state or federal courts. Bakhtiari & Harrison’s versatility allows the firm to handle both avenues expertly. The choice depends on the nature of the dispute, client goals, and potential outcomes.

The firm’s strategic approach involves assessing the merits of arbitration versus litigation for each client, ensuring the chosen path aligns with the client’s best interest.

Conclusion: Your Strategic Partner in Securities Arbitration

For anyone facing disputes in the securities industry, having a law firm that understands both the technicalities and the nuances of securities arbitration is crucial. Bakhtiari & Harrison’s nationwide reach, combined with extensive experience and client-focused strategies, makes them a trusted partner in resolving securities-related conflicts.