FINRA Disputes

Intensity and Experience

When hesitation is not an option. 

At Anthony Ostlund, our zealous litigators have represented clients in hundreds of FINRA disputes, including claims alleging unsuitable investments, as well as alleged violations of securities laws and FINRA rules.

Our clients’ successes are our successes. When we accept a case, we put all available resources to work, making every effort to advocate effectively for our clients’ interests.

Whether you are a broker-dealer in Minnesota or a nationwide financial agency, we can help you resolve your FINRA-related concerns. 

We have handled hundreds of FINRA arbitrations on behalf of broker-dealers and individuals.  For instance:

  • Obtained awards of $16.2 million and $10 million, among others, on behalf of brokerage firm clients in securities industry employee "raiding" cases.
  • Successfully defended broker dealers against claims alleging wrongful sales practices, including claims alleging over $1 million in damages.
  • Defended and continue to defend broker-dealer clients and registered representatives against hundreds of arbitration claims. Although many cases are resolved confidentially, we are experienced at taking these cases through hearing. Read more