When you are looking for a FINRA (formerly NASD) securities arbitration lawyer to advise or represent you in connection with your claim against your stockbroker, investment advisor, or financial planner, you may want to look at lawyers who have experience representing investors in both court and in arbitrations.

You may also want to look for a lawyer with an AV rating from the Martindale-Hubbell directory. The Martindale-Hubbell directory is in most large law offices and law libraries. It contains listings of lawyers and law firms organized by city. The AV rating is the directory's highest rating for both competence and ethics. Martindale-Hubbell also has a website.

Many local bar associations have telephone lawyer referral services. Some of these may list lawyers who do securities cases for investors. Yellow page phone directories usually have a section on lawyers that is divided by the type of law they practice. In major cities, there is often a section for Securities Law or Investment Law that contains ads by lawyers who represent investors. Recommendations from any friends who have brought similar claims can be valuable leads.

When you talk to a lawyer, ask him whether he has represented investors with claims like yours in court and in arbitrations. Ask whether he is willing to give you a free consultation. After he has evaluated your case, ask him what he charges by the hour, and whether he is willing to represent you for a contingent fee. Ask how the contingent fee will be calculated, get a copy of the fee agreement, and have it reviewed by an independent lawyer before you sign it.

Vincent DiCarlo was an enforcement attorney for the Securities and Exchange Comission, and is an AV rated litigator with experience representing both investors and brokers in court and in arbitrations. His resume is here. He is admitted to practice in the courts of California and New York and can represent investors in NASD arbitrations in other states as well, if the matter warrants it and local rules allow. If you want a free consultation, you can call the toll free number above or click one of the email links on this page. There will be no charge or obligation unless, after the consultation, you decide to engage us to represent you.

DISCLAIMER: The information at this site is provided as a public service. It is not intended as legal advice and should not be relied upon. You are advised to consult legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation.
This page last updated on April 8, 2008
Copyright © 1999-2008 Vincent DiCarlo