Before deciding to file any claim, the firm must first determine whether it is legally and financially viable to do so. Prior to deciding to pursue a client's case, the firm gathers from many sources information about the securities purchased for a client's account by his or her broker. Among other things, we analyze the portfolio; the nature of securities purchased for the portfolio; the turnover of the portfolio; costs and fees charged to the client's account; the client's financial background; and all public disclosures available to the broker at the time of purchase and thereafter. We seek to gather as much information as we can about the broker, and the broker's handling of the account, including, but not limited to, email communications about the account, and similar conduct by the broker in the handling of other clients' accounts. Depending upon the information gathered and the projected losses on the account, the firm will send the portfolio to be reviewed by an expert economist firm to give a more exact projection of the actual losses. If after review of all the data the firm determines that a viable claim exists, we prepare a "Statement of Claim" which initiates the arbitration process. Thereafter, we work to prepare an effective and cogent presentation of the client's case at arbitration. To seek to ensure that the matter will be heard by the fairest arbitration panel possible, we use a well-developed regional database of past arbitrators, as well as other sources. (Lawyers on each side use a ranking and strike system to select the arbitration panel). 

National Securities Arbitration Practice 

About Securities Arbitration 

Fees and Cost for Securities Arbitration