Can I Be Represented By An Attorney?

Parties have an absolute right to be represented by a lawyer and may do so at any stage of the arbitration. Parties should be aware that, even if they do not elect to be represented by counsel, the other party may have an attorney, and they can assume that broker/dealers will be represented by an attorney.

Any party represented by counsel should notify FINRA of the counsel's name and address either in the Statement of Claim or the Statement of Answer.  After such notification, communications concerning the case will be addressed to the counsel.

FINRA cannot recommend or provide counsel in the arbitration nor can employees of that organization provide legal advice. Parties who do not have counsel and wish to be represented may want to contact the local bar association for a referral.  It is critical that an investor hire a lawyer with experience in securities arbitration.

Contact Ms. Stoneman - Stoneman Law Offices - Texas & Colorado. (800) 783-0748 Free Consultation - Representing Clients Nationwide