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The main focus of Mr. Stephens’ legal practice is representing clients in binding securities arbitration before the Financial Industry Regulatory Authority (F.I.N.R.A.) seeking to recover damages (compensatory and punitive) caused by improper stockbroker conduct, such as fraud, broken promises, excessive trading, unauthorized trades, or unsuitable investments.

Claims can be made in connection with your use of a stockbroker to purchase or sell any security, including such things as stocks, bonds, options, mutual funds, annuities, life insurance, investment trusts, or limited partnerships.

Usually, your stockbroker will be a member of the Financial Industry Regulatory Authority (F.I.N.R.A.) and be required to submit to binding arbitration of the dispute. While you may have recourse to file a complaint in the federal or state courts, you may choose to use arbitration which usually involves less expensive, more rapid, and less complicated justice; moreover, through your contract with the brokerage firm, you might actually be compelled to seek recovery through binding arbitration instead of using the court system. Should you prevail in arbitration, an arbitrator’s award of money damages is generally required to be paid by a stockbroker within thirty days of the award.

In addition to recovering lost money, a client may be able to recover punitive damages against the stockbroker, well in excess of actual losses.

The focus of Mr. Stephens’ legal practice is securities arbitration before F.I.N.R.A., which has regional headquarters in Boca Raton, FL. and Los Angeles, CA. Hearing locations also include many other metropolitan areas across the United States.

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