SECURITIES ARBITRATION LAWYER FOR INVESTORS

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Securities Arbitration Lawyer for Investors: Recovering Losses Through FINRA Arbitration

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When investors suffer unexpected financial losses, the cause is not always market volatility. In many cases, those losses stem from a broker’s unsuitable or inappropriate recommendations, undisclosed risks, or outright misconduct. For most investors, the primary legal avenue for recovery is FINRA arbitration, a specialized process designed to resolve disputes between customers and brokerage firms or financial advisors. At AMW Law PLLC, we focus on helping investors understand their rights, investigate misconduct, and pursue justice. Led by seasoned securities arbitration lawyer Artur M. Wlazlo, our firm provides clients with the insight and advocacy needed to recover what was lost.

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Understanding FINRA Arbitration

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The Financial Industry Regulatory Authority (FINRA) operates the nation’s largest arbitration forum for resolving investor-broker disputes. When you open a brokerage account, chances are you signed an agreement requiring you to arbitrate any disputes through FINRA rather than taking the matter to court. While arbitration is typically faster and more cost-effective than litigation, it is a legally binding process. What you say, what you prove, and how you present your case all matter.

 

That’s why choosing the right securities arbitration attorney is critical. Artur M. Wlazlo brings more than 20 years of direct experience in the securities industry from conducting internal investigations at Morgan Stanley, to litigating arbitrations as defense counsel at Greenberg Traurig, to prosecuting broker misconduct as a FINRA enforcement attorney, and now, representing individual investors in arbitration proceedings. He also serves as a FINRA arbitrator, giving him a rare view of how decisions are made.​

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Common Investor Claims in Arbitration

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Many of our clients come to us after noticing that their accounts have significantly declined in value, often without understanding exactly why. Through investigation and document review, we often find that their losses resulted from broker negligence, aggressive sales tactics, or misrepresentation. Common investor claims include:

 

• Unsuitable Investment Recommendations: Brokers must recommend investments that match your risk tolerance, financial goals, and personal circumstances. Recommending high-risk or speculative products to a conservative investor is a violation of both FINRA rules and federal securities laws.

• Misrepresentations and Omissions: If a broker fails to disclose the full risk profile, fees, liquidity restrictions, or conflicts of interest tied to an investment, the investor may have a claim for damages.

• Churning or Excessive Trading: Some brokers engage in frequent trades to generate commissions, even if those trades are not in the client’s best interest.

• Overconcentration: Putting too much of a portfolio into a single investment or type of investment (such as REITs, high-yield bonds, or energy stocks) exposes the investor to unnecessary and undisclosed risk.

• Fraudulent or Unregulated Products: In recent years, investors have been sold illiquid or complex products like non-traded REITs, private placements, or leveraged ETFs that were misrepresented as “safe” or “income-generating.”

 

Each case is fact-specific, but all require a lawyer who knows how to identify misconduct, evaluate damages, and present a compelling argument in front of a FINRA arbitration panel.

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Who We Represent

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At AMW Law PLLC, we primarily represent:

 

• Retirees and elderly investors who were misled into believing their portfolios were low-risk and secure

• Professionals and small business owners who trusted financial advisors with long-term savings or business proceeds

• Beneficiaries and surviving spouses who inherited mismanaged or over-leveraged accounts

• First-time investors who were unaware of the true nature of the investments they were sold

 

Many of our clients live in Long Island, New York City, and Westchester, but we represent investors across the country in FINRA arbitration matters.

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What to Expect During FINRA Arbitration

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The FINRA arbitration process begins with the filing of a Statement of Claim, outlining your claims, the investments involved, and the damages sought. After the firm responds, the parties exchange relevant documents, engage in pre-hearing conferences, and ultimately present their cases before one or three arbitrators. A typical arbitration may involve:

 

• Account analysis and forensic review

• Broker communications and internal compliance documents

• Expert testimony on portfolio suitability or industry standards such as regulation Best Interest

• Witness testimony, including the investor and broker

• Legal arguments and post-hearing briefs

 

The arbitrators then issue a binding award. There are no appeals except in very limited circumstances, which makes the preparation and presentation of your case all the more important.

 

At AMW Law PLLC, we manage this entire process for you. We handle all filings, discovery, communications, and hearing preparation. We also negotiate settlements and mediate cases when appropriate, but we never shy away from presenting your case at a full hearing.

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Why Investors Choose AMW Law PLLC

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What distinguishes our firm is not just experience; it’s the depth and diversity of that experience. Artur M. Wlazlo has been:

 

• A FINRA enforcement attorney, investigating misconduct from the inside

• A litigator and arbitration defense lawyer, handling claims for major brokerage firms

• A FINRA arbitrator, helping decide investor claims across the country

• A claimant’s counsel, representing investors who’ve suffered devastating financial harm

 

This full-circle perspective means we know how firms defend these cases, how arbitrators think, and how to build a winning strategy from the outset. We apply that insight to every case, no matter how large or small.

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Contingency-Based Representation Available

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We understand that many investors who come to us are already under financial stress. That’s why AMW Law PLLC offers contingency fee arrangements in most investor cases. You pay no legal fees unless we recover money on your behalf. We believe every investor deserves quality representation, regardless of their financial position.

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Contact a Securities Arbitration Lawyer for Investors

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If you believe your financial losses may have been caused by broker misconduct, don’t assume it was just bad luck. You may have a right to recover damages through FINRA arbitration, but time is limited. Most claims must be filed within six years of the event in question, and there may be shorter deadlines depending on your specific situation.

 

Contact AMW Law PLLC today for a confidential consultation. As an experienced securities arbitration lawyer for investors, Artur M. Wlazlo stands ready to guide you through the process and fight for the recovery you deserve.