MADIA
  • Home
  • About
    • Our People
      • J. Ashwin Madia
      • Joshua A. Newville
      • Cody J. Blades
      • Sara E. Ion
      • David G. Mayhall
      • Ashley M. Velasquez
    • Why Madia Law?
    • Our Strategy
    • Media Coverage
  • Practice Areas
    • TRIAL PRACTICE
    • Civil Rights
      • Sexual Assault
      • Minnesota Police Misconduct, Brutality, and Shootings
    • Employment Law
      • Drug and Alcohol Testing
      • Wrongful Termination
      • Hostile Work Environment
      • Sexual Harassment
      • Race Discrimination
      • Disability Discrimination
      • Family and Medical Leave Act
      • Age Discrimination
      • Retaliation
      • Workers Compensation Retaliation
      • Sexual Orientation Discrimination
      • Sex Discrimination
      • Pregnancy Discrimination
      • Unpaid Wages and Unlawful Deductions
      • Unpaid Overtime Wages
      • Unpaid hours and overtime collective and class actions
      • Veterans and Military
      • Severance Agreements
      • Whistleblower Claims
      • False Claims Act
    • Business Litigation
    • Whistleblower Lawsuits
    • Breach of Fiduciary Duty
    • Pension Plan and ERISA Litigation
    • FINRA Arbitration and Securities Litigation
  • Case Results
    • Police Brutality and Excessive Force
    • Race Discrimination
    • Sex Discrimination
    • Sexual Harassment
    • Sexual Orientation Discrimination
    • Age Discrimination
    • Americans with Disabilities Act (ADA)
    • False Claims Act Cases
    • Family Medical Leave Act (FMLA)
    • Retaliation
    • Workers Compensation Retaliation
    • Breach of Fiduciary Duty
    • Unpaid Wages and Unlawful Deductions
    • Unpaid Overtime Wages
    • Trial Practice
    • Buisness Litigation
    • FINRA Arbitration and Securities Litigation
    • Uniformed Services Employment and Reemployment Rights Act (USERRA)
  • Testimonials
  • FAQ
    • Who’s the best employment lawyer in Minnesota?
    • TRIAL PRACTICE
    • Employment & Civil Rights
    • FINRA Arbitration and Securities Litigation
    • Business Litigation
    • How much is my case worth?
    • What can I expect in a free consultation?
  • Blog
  • Contact

612 349 2729

img

CASE RESULTS: FINRA ARBITRATION AND SECURITIES LITIGATION.

We’re trial lawyers. Our core competency – above everything else – is trying cases to juries. And we specialize in beating giants.

FINRA Arbitration and Securities Litigation

Madia Law Recovers for Investors
The Financial Industry Regulatory Authority (FINRA) handles most claims by investors against brokers and firms through mandatory FINRA arbitration.  The advantage of arbitration is that you will get a final result on your case much faster than through normal civil litigation, and there will be very limited appeals.  The disadvantage of FINRA arbitration is that you will not have the opportunity to have your case decided by a jury – rather, a panel of arbitrators will hear the case and make the final decision.

After you retain Madia Law, we’ll file a Statement of Claim with FINRA that explains the facts and seeks relief. We’ll then rank a list of potential arbitrators provided by FINRA – the other side will do the same.  After the panel is selected, we’ll set a discovery and hearing schedule.  Both sides provide each other with certain documents necessary for the case.  There may be some motions practice, followed by the hearing on your case in front of the arbitration panel.

The arbitration hearing is the “trial” – and the same skills that make us exceptional trial lawyers transfer over to these hearings.  We prepare for the hearing from Day 1, and our closing argument drives our Statement of Claim and discovery process.  We take great pride in our ability to push matters all the way through final hearing if brokers and firms are unwilling to do right by their clients.

Sometimes, however, brokers will settle after they’re convinced that we’re going to beat them at arbitration.  For example, we recovered nearly $100,000 for an investor whose broker over-concentrated his portfolio in gold at a settlement conference just one month before the final arbitration hearing.

Representative Case
We represented “Tom” – a 68 year old retired salesman from Chicago.  When he retired, he placed his trust – and all of his retirement savings – with a broker for capital preservation and growth.
The broker inexplicably pursued an investment strategy that failed to diversify Tom’s investments.  Instead, he concentrated the vast majority of Tom’s portfolio into one asset class: gold.  While precious metals may arguable have constituted a small piece of a well-diversified portfolio for a couple in retirement, the concentration of well over half of Tom’s assets in gold was totally unsuitable for his circumstances.
Predictably, the over-concentration in precious metals led to disastrous results.  When the gold market collapsed, Tom’s portfolio lost a tremendous amount of value.
We took Tom’s case and litigated in arbitration against a large, national brokerage firm.  Just weeks before the arbitration hearing, the firm settled for over $100,000.

Madia Law Bills on Success
We thrive on flexible fee agreements tied to our success.  We’ll work with you to craft a fee agreement that ties success to fees, including contingency fee agreements.

SEARCH MADIA LAW:

Practice Areas

  • Trial Practice
  • Employment Law
  • Civil Rights
  • Business Litigation
  • FINRA Arbitration and Securities Litigation
  • Pension Plan and ERISA Litigation

Recent Posts

  • Newville Named to Federal Practice Committee
  • How Targeting Ads may make Employers the Target of a Lawsuit
  • WHY POLICE MISCONDUCT CASES OFTEN DON’T MAKE IT TO TRIAL
  • THE PROCESS TO REPORT POLICE MISCONDUCT
  • What do I do if I’ve been injured at work?

Archives

  • January 2019
  • October 2018
  • June 2018
  • May 2018
  • April 2018
  • March 2018
  • February 2018
  • January 2018
  • December 2017
  • September 2017
  • August 2017
  • July 2017
  • June 2017
  • March 2017
  • February 2017
  • December 2016
  • November 2016
  • October 2016
  • September 2016
  • August 2016
  • July 2016
  • June 2016
  • May 2016
  • April 2016
  • March 2016
  • February 2016
  • December 2015
  • November 2015
  • October 2015
  • September 2015
  • August 2015
  • July 2015
  • June 2015
  • May 2015
  • April 2015
  • March 2015
  • February 2015
  • January 2015
  • December 2014
  • November 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • June 2014
  • May 2014
  • April 2014
  • March 2014
  • February 2014
  • January 2014
  • December 2013
  • November 2013
  • October 2013
  • September 2013
  • July 2013
  • June 2013
  • May 2013
  • April 2013
  • March 2013
  • January 2013
  • December 2012
  • November 2012
  • October 2012
  • September 2012
  • August 2012
  • July 2012
  • June 2012
  • May 2012
  • April 2012
  • February 2012
  • January 2012
  • December 2011
  • October 2011
  • September 2011
  • August 2011
  • June 2011
  • March 2011
  • February 2011
  • December 2010
  • August 2010
  • May 2009

Categories

  • 42 U.S.C. 1983
  • Age Discrimination
  • Age Discrimination in Employment Act
  • Americans with Disabilities Act (ADA)
  • Breach of Fiduciary Duty
  • Business Litigation
  • Civil Rights
  • Class Actions
  • Compensatory Damages
  • Consumer Fraud
  • Disability Discrimination
  • Eighth Circuit
  • Employee Retirement Income Security Act (ERISA)
  • Evidence
  • Fair Labor Standards Act
  • False Claims Act
  • Family and Medical Leave Act (FMLA)
  • Federal District Court – Minnesota
  • Federal District Court – North Dakota
  • Federal District Court – Wisconsin
  • Fourth Amendment
  • Hostile Work Environment
  • Humor
  • Lost Wages – Back and Front Pay Damages
  • Madia Law News
  • Minimum Wage
  • Minnesota Court of Appeals
  • Minnesota Fair Labor Standards Act (MFLSA)
  • Minnesota Human Rights Act (MHRA)
  • Minnesota Payment of Wages Act (PWA)
  • Minnesota State District Court
  • Minnesota Supreme Court
  • National Origin Discrimination
  • Overtime Pay
  • Police Brutality and Excessive Force
  • Pregnancy Discrimination
  • Punitive Damages
  • Qui Tam Whistleblower
  • Race Discrimination
  • Religious Discrimination
  • Retaliation
  • Securities
  • Sex Discrimination
  • Sexual Harassment
  • Sexual Orientation Discrimination
  • Small Business Litigation
  • ticker
  • Title VII
  • Trademark infringement
  • Trial Practice
  • U.S. Supreme Court
  • United States District Court
  • Whistleblower
  • Whistleblower Protection
  • Workers Compensation Retaliation
  • Wrongful Termination
img

323 Washington Ave. N
T3 Building, Suite #200
Minneapolis, MN 55401
Phone: 612-349-2729
Fax: 612-235-3357

quick LinkS

  • Home
  • About
  • Practice Areas
  • Case Results
  • Testimonials
  • FAQ
  • Blog
  • Contact

follow us

  • img
    Facebook
  • img
    Twitter
  • img
    Google

more info

Based in Minneapolis, Madia Law is a nationally-recognized boutique litigation firm. We represent small businesses and victims of discrimination and unfair treatment. We focus on civil rights and constitutional law, employment law, class actions, business litigation, whistleblowers, breach of fiduciary duty, police misconduct, securities litigation, unpaid wages, sexual harassment and more.


Copyright © 2009–2019 Madia Law LLC. All Rights Reserved. Privacy Policy

MENU
  • Home
  • About
    • Our People
      • J. Ashwin Madia
      • Joshua A. Newville
      • Cody J. Blades
      • Sara E. Ion
      • David G. Mayhall
      • Ashley M. Velasquez
    • Why Madia Law?
    • Our Strategy
    • Media Coverage
  • Practice Areas
    • TRIAL PRACTICE
    • Civil Rights
      • Sexual Assault
      • Minnesota Police Misconduct, Brutality, and Shootings
    • Employment Law
      • Drug and Alcohol Testing
      • Wrongful Termination
      • Hostile Work Environment
      • Sexual Harassment
      • Race Discrimination
      • Disability Discrimination
      • Family and Medical Leave Act
      • Age Discrimination
      • Retaliation
      • Workers Compensation Retaliation
      • Sexual Orientation Discrimination
      • Sex Discrimination
      • Pregnancy Discrimination
      • Unpaid Wages and Unlawful Deductions
      • Unpaid Overtime Wages
      • Unpaid hours and overtime collective and class actions
      • Veterans and Military
      • Severance Agreements
      • Whistleblower Claims
      • False Claims Act
    • Business Litigation
    • Whistleblower Lawsuits
    • Breach of Fiduciary Duty
    • Pension Plan and ERISA Litigation
    • FINRA Arbitration and Securities Litigation
  • Case Results
    • Police Brutality and Excessive Force
    • Race Discrimination
    • Sex Discrimination
    • Sexual Harassment
    • Sexual Orientation Discrimination
    • Age Discrimination
    • Americans with Disabilities Act (ADA)
    • False Claims Act Cases
    • Family Medical Leave Act (FMLA)
    • Retaliation
    • Workers Compensation Retaliation
    • Breach of Fiduciary Duty
    • Unpaid Wages and Unlawful Deductions
    • Unpaid Overtime Wages
    • Trial Practice
    • Buisness Litigation
    • FINRA Arbitration and Securities Litigation
    • Uniformed Services Employment and Reemployment Rights Act (USERRA)
  • Testimonials
  • FAQ
    • Who’s the best employment lawyer in Minnesota?
    • TRIAL PRACTICE
    • Employment & Civil Rights
    • FINRA Arbitration and Securities Litigation
    • Business Litigation
    • How much is my case worth?
    • What can I expect in a free consultation?
  • Blog
  • Contact