Cases involving stock broker and brokerage firm misconduct are subject to the specialized rules and regulations of the Financial Industry Regulatory Authority (FINRA) and the Securities & Exchange Commission (SEC) and various state statutes and rules.
The "New Account Form" an investor signs when opening a brokerage account with the broker dealer , contains a provision wherein the investor agrees to waive his right to go to state or federal court and agrees to resolve any dispute in arbitration. Most cases are brought as FINRA arbitrations in accordance with the rules of that self regulatory organization. These arbitrations are generally concluded in about a year or so.
Our firm welcomes referrals and pays referral fees in accordance with the Florida bar rules of Professional Conduct (Rule 4-1.5) and the applicable rules of the other state bar associations.
If one of your clients believes they are a victim of securities fraud do not hesitate to contact us - we pride ourselves on providing excellent client service and will ensure they have the best possible chance of recovering losses.
Robert H. Rex, Esq.
Rex Securities Law
Dickenson Murphy Rex & Sloan
250 NW 4th Diagonal
Boca Raton FL 33432
12600 Hill Country Blvd., Suite R-275
Austin, TX, 78738
Toll free: 877-224-3199