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  • Gary Mauney

REPRESENTING INVESTORS IN FINRA ARBITRATIONS

Charlotte Attorney Gary Mauney fights for clients who have been deceived or outright cheated.

THIS IS WHY CLIENTS HIRE MAUNEY PLLC


Investors who have been victims of securities fraud need the guidance of an attorney they can trust. We fight tirelessly for the rights of our clients to ensure that justice is served.


What is a FINRA Claim?


The Financial Industry Regulatory Authority (FINRA) is an organization authorized by the United States government to regulate and provide dispute resolution services to securities firms and investors. When an investor wants to resolve a complaint it has with its financial advisor or brokerage firm the investor can initiate a FINRA arbitration proceeding by filing a FINRA claim, which includes a Statement of Claim and a FINRA Submission Agreement. If the claim proceeds to the hearing stage, an arbitrator or panel of arbitrators will settle the dispute based on the merits of the claim as well as evidence presented by all parties. The final decision in a FINRA arbitration hearing is binding, and thereafter, parties are barred from pursuing the same claims through the court system.


When can you file a claim against a stockbroker or Financial Advisor?


Significant losses in your brokerage account may be a sign that your broker/financial advisor acted inappropriately and you may be entitled to recover those losses. Our attorneys are experienced in recovering money lost in various types of investments. We have years of experience representing clients in court and in arbitration. If there have been improper or questionable trades in your investment portfolio or you have taken a big loss on any particular investment, give us a call and we will let you know if you have a case.


FRAUD

UNAUTHORIZED TRADES

CHURNING

NEGLIGENCE

UNSUITABILITY


WHO WE HELP


We help clients who were deceived or misled by their financial planner, investment advisor, or broker fight for financial recovery. People who have lost money on their investments or with underperforming portfolios. People who hired the wrong Financial Advisor. Victims of suspicious investments.


CONTACT MAUNEY PLLC FOR A CONFIDENTIAL AND FREE CONSULTATION


If you are unsure about whether your claim is eligible for FINRA arbitration, contact Mauney PLLC, so that Gary Mauney, an experienced securities litigation attorney, can help you explore your legal options. Contact Gary Mauney at Mauney PLLC via email at info@mauneypllc.com or call us at 704/945-7185 to schedule a free consultation.