Investors primarily litigate disputes with brokerage firms in arbitration forums administered by the Financial Industry Regulatory Authority (FINRA). These disputes often center on allegations that the broker failed to make suitable recommendations, churned an account or failed to disclose material information. Disputes over similar issues involving registered investment advisors (RIAs) are usually litigated before American Arbitration Association (AAA) or Judicial Arbitration and Mediation Services, Inc (JAMS) panels.
SLCG provides analysis to Claimants and Respondents in securities arbitrations and our professionals frequently testify before arbitration panels. Our expert witnesses have been involved in many of the largest, most complex securities arbitrations of the last decade including cases involving hedge funds, CDOs and other structured finance securities, REITs.