Securities Arbitration & ADR

Our attorneys are nationally recognized by their clients, peers, adversaries and securities industry regulators for their experience and expertise in securities arbitration at FINRA and other self-regulatory forums, and in mediation and other alternative dispute resolution forums.

In addition to successfully arguing the seminal United States Supreme Court cases that established securities arbitration as the primary forum for investor disputes, McGonigle, P.C. attorneys have decades of experience representing most of the major investment banks and broker-dealers and have arbitrated -- through full hearing -- hundreds of securities arbitrations throughout the United States involving complex sales practice, trading, banking, employment, operational and other matters, with damage claims as large as one billion dollars.

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Looking Forward

FINRA arbitrations are back in person, and an increasing percentage of cases will be heard in a live setting. Many cases were postponed during the pandemic because both claimants and respondents were hesitant to present their cases virtually and were convinced that their arguments would be more compelling if presented at in-person hearings. FINRA requires that all participants in live hearings – arbitrators, attorneys, parties, and witnesses – be fully vaccinated or provide negative PCR tests. Still, it is obvious that Zoom or hybrid hearings will continue to be an important part of the landscape going forward. Many parties appreciated the efficiencies and convenience of appearing online and avoiding the extra time and expense of travel. New case filings were down in 2021 due to the strong financial markets and the ongoing effects of the pandemic. We anticipate that the filings will rise back to historical levels as the markets become more volatile and more attorneys and potential litigants return to the office.