Can an investor who has been abused by a brokerage firm sue in court? | Scott Silver | Silver Law Group | Securities & Investment Fraud Attorneys | (800) 975-4345 | http://SilverLaw.com | SSilver@SilverLaw.com | 11780 W. Sample Road, Coral Springs, Florida 33065



Brokerage firms and financial advisers are regulated by FINRA, a quasi governmental agency that oversees the securities industry. As part of industry rules and regulations, the customer agreement generally includes a FINRA arbitration clause that requires any disputes between a client and a brokerage firm to be arbitrated before FINRA. The arbitration process is generally faster and speedy than court and offers the investor many benefits.