Halling & Cayo, S.C., a law firm located in the Historic Third Ward in Milwaukee, Wisconsin, has a team of experienced securities lawyers dedicated to assisting investors in Wisconsin with recovering losses incurred due to misconduct by Brokers and Broker-Dealers. Typically, losses suffered by an investor must be recovered through mandatory arbitration proceedings administered by the Financial Industry Regulatory Authority (FINRA) that take place in Milwaukee. The securities lawyers at Halling & Cayo have helped many fellow Wisconsin residents to recover their investment losses.

In accordance with FINRA’s Code of Arbitration Procedure, parties involved in arbitration are entitled to legal representation at any stage of the proceedings.

Engaging an attorney experienced in FINRA arbitration offers several advantages:

  • FINRA Arbitrations often involve intricate legal and regulatory matters or substantial claims for monetary damages. Brokers may engage in various abusive and unsuitable conduct without the client’s awareness, and the experienced attorneys at Halling & Cayo, S.C. possess the specialized knowledge needed to navigate these complex issues, drawing from decades of experience in recovering investment losses for clients in Wisconsin.
  • An attorney can offer guidance before the arbitration process commences. The experienced securities lawyers at Halling & Cayo, S.C. can assist in evaluating the viability of a claim, ensuring that time and resources are not wasted on filing non-meritorious cases.
  • FINRA provides randomly-generated lists of proposed arbitrators for each case. Leveraging their extensive experience in the FINRA forum, the securities lawyers at Halling & Cayo, S.C. can analyze which arbitrators are best suited to decide a particular case.
  • Confidentiality and attorney-client privilege play a crucial role in discussions with any type of case. The private and protected nature of communications with your attorney will ensure that information that is shared about your case remains protected, fostering a trusting relationship that enhances guidance and decision-making.

Types of FINRA Arbitration Claims

Various claims can be brought against Broker-Dealers in FINRA arbitration, encompassing violations of Federal law, Wisconsin law, or FINRA’s internal rules. These claims may include unsuitable investment strategies, securities fraud, unauthorized trading, failure to supervise broker conduct, broker theft, and general negligence. The securities lawyers at Halling & Cayo, S.C. offer complimentary consultations, evaluating potential cases and pursuing securities claims in either FINRA arbitration or, if appropriate, Wisconsin State Court.

With a track record of recovering millions of dollars for clients, Halling & Cayo, S.C. is dedicated to assisting individuals who believe they have fallen victim to securities fraud, investment fraud, or general broker misconduct. Prospective clients are encouraged to contact our law firm in Wisconsin for a free consultation to explore potential avenues for recovering your losses. Remember, our firm only receives compensation if you receive a recovery.


Do I have to pay a fee in advance?

We only get paid on these cases if we win. Hire a firm that not only knows the law surrounding securities law claims but also has the experience in Wisconsin 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.