The securities lawyers at Halling & Cayo, S.C., are a Midwest law firm based in Milwaukee, Wisconsin. We have helped investors throughout the United States recover losses suffered at the hands of a broker. For the most part, these losses are recovered through a mandatory arbitration that is administered by the Financial Industry Regulatory Authority (“FINRA.”)

When an account is opened at a Broker-Dealer, the account paperwork almost always includes an arbitration clause that requires any disputes with the Broker-Dealer to be litigated within a FINRA arbitration. As the FINRA arbitration proceedings sit outside of the State Court system, the securities lawyers at Halling & Cayo, S.C. can help investors recover losses throughout the Midwest, including the State of Iowa, in cities like: Des Moines, Cedar Rapids, Davenport, Sioux City, West Des Moines, Ankeny, Waterloo, Ames, Council Bluffs, and Dubuque.

FINRA’s Code of Arbitration Procedure states that parties are entitled to be represented by an attorney at any stage of the arbitration proceeding. Here are some reasons that hiring an attorney that is experienced with the FINRA arbitration form is good for you.

We’re Attorneys Experienced with FINRA Arbitration

  • FINRA Arbitrations involve complex legal and regulatory issues or large claims for monetary damages. Brokers commit a variety of abusive and unsuitable conduct in brokerage accounts without a client’s knowledge of any wrongdoing. Our attorneys have the specialized knowledge and skill required to tackle these complex legal issues due to the wealth of experience shared by our attorneys through recovering investment losses for other clients in the Midwest for decades.
  • An attorney can provide guidance even before the arbitration process begins. The experienced securities lawyers at Halling & Cayo, S.C. can assist you in determining whether you have a viable claim, so that you do not waste valuable time or your money filing a case.
  • FINRA provides identical randomly-generated lists of proposed arbitrators that will decide your case, along with a detailed report on each arbitrator’s background. The securities lawyers at Halling & Cayo, S.C. will use their decades of experience in the FINRA forum to help evaluate which arbitrators are the best fit to decide your case.
  • Speaking with one of the securities lawyers at Halling & Cayo, S.C. is confidential and protected by attorney-client privilege. This means that your attorney is not allowed to discuss what you tell him or her with anyone else, and that statements you make will be kept between the two of you. Attorney-client privilege helps both parties better understand the strengths and weaknesses of the case and establishes a relationship of trust that can lead to better guidance and decision-making.

Types of FINRA Arbitration Claims

There are many claims that may be brought against Broker-Dealers in FINRA arbitration. These claims may be asserted for violations of Federal law, Iowa law, or violations of FINRA’s own internal rules and can include claims for: unsuitable investment strategies under Iowa law, securities fraud, unauthorized trading, failing to supervise the conduct of a broker, broker theft, and general negligence. The securities lawyers at Halling & Cayo, S.C. can review your case and, if applicable, can bring securities claims in FINRA arbitration on your behalf through FINRA’s Iowa office in Des Moines. Consultations with our securities lawyers are free of charge and Halling & Cayo, S.C. is only compensated if you recover.

The securities lawyers at Halling & Cayo, S.C. have already recovered millions of dollars for our clients and are here to help determine whether we may be able to help you to recover your losses. If you believe you have been a victim of securities fraud, investment fraud, or general broker misconduct, please give our Midwest law firm a call for a free consultation today.


Do I have to pay a fee in advance?

We only get paid on these cases if we win. In addition, we advance any travel expenses for attending a hearing in Iowa and are only reimbursed if we are successful with your claim. Hire a firm that not only knows the law surrounding securities law claims but also has the experience to help you bring your claim and recover your investment losses.

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What are the steps of FINRA Arbitration?


Seth Hill is an attorney at Halling and Cayo, a full service law firm in Milwaukee, WI and part of its Securities Litigation team. 

He focuses his practice on creditor’s rights, collections, business law, insurance defense, and business and commercial litigation.

Contact him at 414-271-3400 or via e-mail at DSH@hallingcayo.com to see if he can help recover funds.