Securities Litigation and FINRA Arbitration
Jonathan represents investors, financial advisors, and brokerage and advisory firms in securities and investment disputes throughout Florida and the United States, with extensive experience in customer, industry and employment arbitration before the Financial Industry Regulatory Authority (FINRA), as well as in state and federal court.
Representative matters and claims
- Unsuitable investment and improper sales practice claims
- Equities, bonds, fixed income, mutual funds and managed accounts
- Annuities and alternative or non-traded investments
- Churning, over-concentration and excessive margin
- Failure to supervise and selling-away claims
- Customer, industry and employment FINRA arbitrations and mediations
Frequently asked questions
Common questions about securities litigation and finra arbitration in Florida and Georgia, answered by Jonathan B. Butler, Esq..
- How do investors recover losses caused by an unsuitable investment?
- Most brokerage agreements require claims to be filed in FINRA arbitration rather than court. A statement of claim is filed with FINRA Dispute Resolution, a panel is selected, the case proceeds through discovery and an evidentiary hearing, and the panel issues a binding award.
- Does the firm represent financial advisors as well as investors?
- Yes. Jonathan represents both sides of the industry, including investors bringing claims and advisors and firms defending customer, industry and employment claims.
Have a question that isn't answered here? Contact Butler Law Group or call (561) 512-7261 for a confidential case review.
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Over 30 years of trial experience in business, financial and securities disputes.