SECURITIES ARBITRATION ATTORNEY FOR FINANCIAL PROFESSIONALS

Securities Arbitration Attorney for Financial Professionals: Strategic Defense in FINRA Disputes

 

For stockbrokers, investment advisors, and registered representatives, a FINRA arbitration claim is more than just a legal challenge; it can threaten your license, reputation, and livelihood. Whether you're facing a customer complaint alleging misconduct or an intra-industry dispute with a former firm over a promissory note, FINRA arbitration requires a serious and experienced legal defense. At AMW Law PLLC, we provide exactly that. As a former FINRA enforcement attorney, defense counsel for national broker-dealers, and current FINRA arbitrator, Artur M. Wlazlo offers unmatched insight into how these disputes unfold - and how to fight them effectively.

 

If you've been named in an arbitration claim or expect one to be filed, contact AMW Law PLLC, a seasoned securities arbitration lawyer for financial professionals, today.

 

When Brokers and Advisors Become the Target

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​Arbitration claims can arise from various sources, such as clients alleging inappropriate recommendations, former employers enforcing repayment clauses, or compliance issues that result in industry sanctions. Regardless of their origin, these claims have significant consequences:

 

• Customer complaints can trigger negative Form U4 or U5 disclosures

• Arbitration awards may become public and affect future employment

• Disciplinary findings can lead to suspension or a bar from the industry

 

Mr. Wlazlo has spent more than two decades working with and inside the financial industry. During his time at Greenberg Traurig LLP, he defended major broker-dealers and their registered representatives in customer arbitrations, regulatory investigations, and intra-industry matters. Later, at FINRA Enforcement, he investigated and prosecuted cases against brokers and firms for violations of securities laws and regulatory rules. Now, as a securities defense lawyer and FINRA arbitrator, he brings that full-circle perspective to each case.

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Common Arbitration Scenarios for Financial Professionals

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We represent stockbrokers, advisors, and supervisors in a wide range of arbitration matters, including:

 

• Customer Claims alleging unsuitable recommendations or not in the customer’s best interest, misrepresentation, unauthorized trading, or excessive commissions

• Expungement Petitions to remove baseless or defamatory complaints from CRD records

• Promissory Note Arbitrations involving disputes over repayment obligations after termination or resignation

• Compensation and Bonus Disputes, including unpaid commission claims

 

We understand that these disputes often involve not just legal principles but emotional, reputational, and financial pressure. Many brokers are caught off guard by claims filed months or years after client interactions, often involving market downturns or misunderstood products. Others are targeted during transitions, layoffs, or compliance shakeups.

 

At AMW Law PLLC, we bring calm, strategic direction to what can feel like a chaotic moment in a financial professional’s career.

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The FINRA Arbitration Process for Professionals

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Arbitration is a formal legal proceeding with its own set of rules, timelines, and procedures. Once a Statement of Claim is filed, you must respond promptly and begin preparing your defense. Discovery deadlines follow quickly, and pre-hearing conferences set the tone for how the case will proceed. Artur M. Wlazlo helps financial professionals at every stage of the arbitration process:

 

• Drafting and filing a strong Answer and defenses

• Preparing for pre-hearing motions and discovery disputes

• Managing document production and confidentiality

• Evaluating settlement opportunities and mediation

• Representing clients at hearings, including cross-examination and expert testimony

• Preparing for expungement requests and Form U5 clarifications

 

Since FINRA arbitration awards are final and binding, the hearing is your only opportunity to present your case, so it must be executed well. Mr. Wlazlo’s experience as an arbitrator enables him to anticipate how panels will receive arguments, assess evidence, and evaluate witness credibility.

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Why AMW Law PLLC Is Different

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Most firms offer either investor-side experience or defense-side work, but few can offer both, and even fewer have the added advantage of enforcement and arbitration experience from within FINRA itself. Artur M. Wlazlo has all four:

 

• Defense Counsel for major broker-dealers and registered reps

• Enforcement Attorney at FINRA’s New York office

• Claimants’ Counsel representing investors in complex disputes

• Current FINRA Arbitrator with insight into the decision-making process

 

This gives AMW Law PLLC a comprehensive understanding of arbitration dynamics: how firms structure defenses, how regulators frame violations, and how panels reach conclusions. That level of insight helps us defend financial professionals with accuracy, credibility, and the confidence of experience.

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Defending Your Career and Reputation

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Arbitration is not just about damages; it’s about your professional future. An adverse award, even one without a finding of liability, can impact your CRD record, your employment prospects, and your reputation in the industry. We take that seriously. Our defense is not limited to answering a claim - we help manage broader implications, including:

 

• U4 and U5 disclosures

• Form CRD reporting

• Regulatory referral risks

• Reputational strategy for transitions or future registration

 

We also collaborate with your employment counsel and your firm’s compliance professionals as needed to ensure a comprehensive approach to your defense.

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Serving Professionals in Long Island, New York, and Nationwide

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Based in Long Island, AMW Law PLLC is especially attuned to the needs of local brokers and advisors in Nassau and Suffolk counties, Manhattan, and surrounding areas. We represent professionals affiliated with national firms as well as advisors at independent firms, RIAs, and regional broker-dealers.

 

Because FINRA arbitration is national in scope, we also represent professionals across the country. Hearings may be conducted virtually or in venues such as New York, Boston, Chicago, or Florida, and we’re equipped to handle your case wherever it arises.

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Speak to a Securities Arbitration Lawyer Today

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If you've been named in a customer arbitration, are dealing with a promissory note or U5 dispute, or want to pursue expungement, the time to act is now. FINRA arbitration moves quickly, and failing to respond properly can jeopardize your rights.

 

Contact AMW Law PLLC today to speak with a seasoned securities arbitration lawyer for financial professionals. With a career built across the defense bar, enforcement, and arbitration panel, Artur M. Wlazlo offers trusted, strategic representation for those who need it most.