FINRA Lawyer in California

Investment Loss Recovery for Los Angeles & California Investors

FINRA arbitration is one of the most direct paths available to investors who’ve suffered losses from broker misconduct or securities fraud. At The Law Offices of Jonathan W. Evans & Associates, we represent California investors in FINRA dispute resolution proceedings exclusively on the investor side. We don’t represent brokers or brokerage firms. The claims we take go to public customers who have been harmed.

Our founding attorney, Jonathan W. Evans, has been practicing securities law since 1975. That depth of experience informs every filing, every arbitration strategy, and every client conversation we have. If you’re an investor in Los Angeles or anywhere in California who suspects broker misconduct or securities fraud, contact our FINRA attorneys to discuss your situation. Call (818) 760-9880 or reach out online to speak with a California FINRA lawyer today.

FINRA is an independent, non-governmental self-regulatory organization that oversees broker-dealers and their registered representatives across the United States. It enforces its own rules alongside SEC regulations and state securities laws to protect investors from broker misconduct and fraud. When a broker or brokerage firm violates those rules and an investor suffers losses, FINRA’s dispute resolution forum provides a formal process for pursuing recovery.

Types of Broker Misconduct We Handle

Investors don’t always know the name for what happened to them. They know their portfolio dropped, that their broker made promises that didn’t hold, or that trades appeared on their statements they never approved. Our FINRA arbitration lawyers handle a wide range of investor claims, including:

• Broker fraud and misrepresentation: False or misleading statements about an investment’s risks, returns, or suitability
• Unsuitable investment recommendations: Placing clients in products that don’t match their risk tolerance, time horizon, or financial objectives
• Unauthorized trading: Executing trades without the client’s knowledge or consent
• Churning: Excessive trading in an account to generate commissions at the investor’s expense
• Overconcentration: Concentrating a portfolio in a single security or sector beyond what’s appropriate for the client
• Failure to supervise: Brokerage firms that failed to monitor their brokers’ conduct
• Hedge fund mismanagement: Misconduct involving the management or marketing of hedge fund investments

California investors also benefit from protections under the California Corporations Code that operate alongside federal law. Under Section 25401, liability for misrepresentation of a material fact doesn’t require proof of scienter or intent to deceive, which can broaden recovery options compared to federal standards alone.

How the FINRA Arbitration Filing Process Works

The first step in any FINRA arbitration is filing a Statement of Claim. This document identifies the claimant, names the broker or brokerage firm, specifies the relevant dates and conduct at issue, and states the damages and relief sought. The filing package also includes a Submission Agreement and applicable filing fees.

After the Statement of Claim Is Filed

Once the Statement of Claim is served on the respondents, typically the brokerage firm and the individual broker, they have 45 days to respond. For claims exceeding $100,000, a three-arbitrator panel is appointed through a selection process in which both parties rank lists of arbitrator candidates. FINRA arbitration is a non-judicial, binding dispute resolution process. The panel’s award is final and may be enforced in court.

Accuracy matters from the first filing. Damages calculations, the scope of relief requested, and the completeness of the submission all affect what recovery may be available. If a filing doesn’t meet FINRA’s requirements, FINRA notifies the claimant so corrections can be made. Errors and omissions can create delays and risks that experienced representation helps avoid. We have litigated hundreds of securities arbitration claims and served as counsel at over 50 arbitration hearings.

FINRA Mediation as an Alternative

FINRA mediation is a voluntary process in which a neutral mediator helps both parties negotiate a mutually acceptable settlement without a binding decision being imposed. It can resolve a dispute faster and with more predictability than arbitration when both parties are willing to reach agreement. Where a brokerage account agreement contains a mandatory pre-dispute arbitration clause, arbitration may be the required path regardless of whether mediation is attempted first.

Why Los Angeles & California Investors Work With The Law Offices of Jonathan W. Evans & Associates

The clearest thing we can say about how we practice: we represent public customers only. We don’t represent brokers, brokerage firms, or any party on the industry side of a dispute. The clients we take are investors who have suffered investment losses and are seeking to recover those losses through FINRA dispute resolution.

That commitment is structural, not situational. Our strategies, our knowledge of how brokerage firms respond to claims, and our familiarity with FINRA’s arbitration process are all built from the investor’s side of the table. Brokerage firms are almost always represented by attorneys in arbitration proceedings. California investors can benefit from equivalent representation by counsel who has spent decades working these claims.

Jonathan W. Evans has been practicing law since 1975. We bring that depth of experience to every claim. This includes matters involving straightforward broker fraud, complex hedge fund mismanagement, or a pattern of violations that took years to surface. We work with clients throughout Los Angeles and across California, providing the personalized attention that a claim of this complexity requires.

Contact Our California FINRA Attorneys

FINRA arbitration claims are subject to a six-year filing deadline under FINRA Rule 12206, and California state securities law claims carry their own limitations periods that can be shorter. Details on both are outlined below. Waiting to consult an attorney can limit your options. If you’re a California investor with questions about a potential FINRA arbitration or mediation claim, we’re ready to discuss your situation.

Contact our Los Angeles FINRA lawyers now. Call (818) 760-9880 to speak with a California FINRA attorney about your claim.