FINRA Disputes

Intensity and Experience

When hesitation is not an option. 

At Anthony Ostlund, our zealous litigators have represented clients in hundreds of Financial Industry Regulatory Authority (FINRA) disputes, including claims of improper investment, 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. Contact us at 612.349.6969.

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 on behalf of brokerage firm clients in securities industry employee "raiding" cases.
  • Successfully defended Ameriprise Financial Services against claims alleging wrongful sales practices, including claims alleging over $1 million in damages.
  • Defended and continues to defend broker-dealer clients and registered representatives against hundreds of claims since the start of the Great Recession. Many cases are resolved confidentially, but some have gone through hearing and Anthony Ostlund's client has prevailed. Read more