Arbitration and Alternative Dispute Resolution

Representation of broker-dealers, financial advisors, and investors in investment-related disputes before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (AAA), and Judicial Arbitration and Mediation Service (JAMS). Experience with cases involving:

  • Account Ownership Issues
  • Beneficiary Designations
  • Breach of Fiduciary Duty
  • Churning/Excessive Trading
  • Concentration
  • Disclosure of Fees
  • Failure to Follow Instructions
  • Failure to Supervise
  • Forgery
  • Marketing / Sales Literature
  • Misappropriation / Theft
  • Misrepresentation
  • Ponzi Schemes and Third-Party Fraud
  • Poor Performance
  • Selling Away
  • Senior Investors / Elder Abuse
  • Suitability
  • Transfer on Death Accounts
  • Products (Auction Rate Securities, Collateralized Debt Obligations, Municipal Debt, etc.)
  • Unauthorized Trading

Contact Us

Jonathan Brennan PLLC Firm Logo

200 Vesey Street, 24th Floor New York, NY 10281
Phone: 212-388-6910 - Fax: 212-425-7277

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