FINRA arbitration is the primary forum for resolving disputes in the securities industry, favored for its efficiency and expertise in handling complex financial matters. However, succeeding in FINRA arbitration requires more than just legal FINRA BrokerCheck knowledge—it demands a nuanced understanding of the process, from filing claims to selecting arbitrators and presenting evidence. At Bakhtiari & Harrison, we guide clients through every phase with precision, ensuring that procedural rules and deadlines are meticulously followed while capitalizing on strategic opportunities unique to this forum.
Early Case Assessment and Strategic Planning
A winning FINRA arbitration begins with a comprehensive early case assessment. Our attorneys dive deep into the facts, regulatory background, and legal issues to evaluate the strengths and weaknesses of the claim or defense. This thorough evaluation allows us to formulate a targeted litigation strategy tailored to the client’s objectives, whether it’s maximizing recovery or minimizing exposure. Early planning also includes identifying key witnesses, potential expert testimony, and preparing for possible settlement negotiations.
Mastering Evidence Presentation and Storytelling
One of the most critical aspects of FINRA arbitration is the ability to present complex financial information clearly and compellingly to arbitrators, who may come from diverse professional backgrounds. Bakhtiari & Harrison places a premium on effective storytelling combined with meticulous evidence preparation. We translate technical data into persuasive narratives supported by well-organized documentation, expert analyses, and demonstrative exhibits. This clarity not only strengthens our client’s case but also builds credibility and trust with the arbitration panel.
Skilled Advocacy and Arbitration Hearing Preparation
The arbitration hearing is where strategy meets execution. Our attorneys are seasoned advocates who excel in direct examination, cross-examination, and oral argument tailored to FINRA panels. We rigorously prepare clients and witnesses to ensure confident, coherent testimony and anticipate opposing counsel’s tactics. By combining courtroom savvy with an understanding of the arbitration environment, Bakhtiari & Harrison maximizes our clients’ chances of a favorable award.
Post-Hearing and Enforcement Strategies
Winning a FINRA arbitration award is a significant milestone, but the process does not end there. Our firm also advises clients on post-hearing motions, potential award challenges, and enforcement of arbitration decisions. We ensure that successful outcomes translate into tangible results, whether that means recovering damages or clearing regulatory hurdles. Through every stage, Bakhtiari & Harrison remains a dedicated partner, committed to delivering winning strategies and client-focused results.
