Securities arbitration
Mathews Giberson LLP represents both investors and financial professionals in FINRA arbitration. Former SEC Senior Counsel Walter Mathews brings an inside understanding of securities law that benefits clients on both sides of the table.
Call (954) 463-1929For investors
We represent investors who have suffered losses due to:
For financial professionals
We defend financial professionals against:
Common questions
Yes. Unlike firms that represent only one side, Mathews Giberson has experience representing both claimants and respondents in FINRA arbitration. This gives us a complete understanding of the strategies used on both sides — which makes us more effective for every client.
We represent investors in claims involving unauthorized trading, churning, unsuitable investments, misrepresentation, elder financial fraud, Ponzi schemes, failure to supervise, and all other forms of broker misconduct and securities fraud.
We represent broker-dealers, registered representatives, and investment advisers in customer claims, FINRA enforcement actions, U4/U5 disputes, and regulatory investigations.
Most FINRA arbitrations resolve in 12 to 18 months from filing to award. Cases can resolve faster through settlement. Complex multi-party cases may take longer.
Thousands of Puerto Rico investors suffered devastating losses when UBS and other firms heavily concentrated client portfolios in Puerto Rico municipal bond funds that collapsed. Mathews Giberson has handled claims arising from this crisis.