The Financial Regulatory Authority (“FINRA”) is the only self-regulating organization for brokerage firms in the United States. FINRA oversees brokerage firms and registered securities professionals in the United States. And it provides an arbitration forum for securities disputes.
Our attorneys who take part in FINRA arbitrations also have expertise and knowledge about securities regulations, industry practice, and the FINRA rules applicable to arbitration. Our experience includes representations of both investors and investment professionals. Regardless of the case complexity, we help our clients to try and reach optimal resolutions for broker-dealer disputes.
Practice Team
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Charles A. Lyman
Equity Partner
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Bryan D. Caditz
Of Counsel
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Michael P. Scruggs
Of Counsel
News & Insights
A look at the legal landscape
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Easements on the Move
A New Washington Law Allows Servient Estate Owners to Move Burdensome and Inconvenient Easements.
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The Kids Are Alright
SFF Attorneys volunteer at AMTA mock trial event.