FINRA and Other Arbitration
WattBeckworth regularly represents securities firms and individuals in arbitrations before the Financial Industry Regulatory Association or FINRA throughout the United States. For several financial services firms, WattBeckworth is the primary coordinating counsel for their FINRA arbitrations throughout the U.S., helping to coordinate litigation strategy and efficiency for our clients. WattBeckworth also regularly represents individual brokers and other financial industry professionals in compliance and regulatory issues, including U4/U5 defamation claims, responses to FINRA inquiries, responses to state regulatory inquiries, and customer complaint disputes.