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Mr. Chase has represented both investors and brokerage firms in numerous disputes relating to investment services, including allegations of investment fraud, unsuitable investments, churning of investment accounts, charging undisclosed or excessive investment-related fees, and other inappropriate investment practices.

FINRA Arbitration

Investment disputes are frequently subject to arbitration provisions requiring that they be arbitrated before the Financial Industry Regulatory Authority, commonly known as FINRA. FINRA has arbitration offices around the country and utilizes arbitrators who specialize in deciding such disputes.

The dynamic of a FINRA arbitration is significantly different from a court litigation and it is important to be experienced with FINRA’s arbitration procedures and knowledgeable about the damages amounts typically awarded by FINRA arbitrators in a regional office, which amounts can vary significantly region to region.

Thorough Analysis, Organized Presentation

Mr. Chase believes that the key to effectively litigating investment disputes is thorough analysis and organized presentation. Even a relatively simple investment dispute will involve a large number of trades, made over many years, through multiple investment accounts. Add to that a large volume of email communications and there is a large record of evidence. To effectively represent a party in an investment dispute, it is essential to carefully analyze and understand these trading and email records and clearly present them to the panel in the light most favorable to your client. Typically, the attorney that knows the record the best, and presents it most clearly at trial, will prevail. Mr. Chase always strives to be that attorney.

If you are an investor or brokerage firm faced with an investment dispute, please contact Thomas Chase for a free initial consultation about your matter.