Securities Litigation & FINRA Arbitration
Panther Law Group represents investors against broker-dealers, investment advisors, and financial professionals. Most of these claims proceed in FINRA arbitration, where the customer agreement usually sends them, and in court where it does not.
What we handle
- Unsuitable recommendations and account concentration
- Churning and excessive trading
- Misrepresentation and omission of material facts
- Breach of fiduciary duty by investment advisors
- Failure to supervise and firm liability
- Selling away and unauthorized transactions
- Unauthorized trading and improper use of margin
- Elder financial exploitation in investment accounts
How we work the case
FINRA arbitration is not a simplified version of litigation. Discovery follows its own rules, panel selection matters, and there is effectively no appeal from an adverse award. We reconstruct the account from the opening documents forward: what the investor was told, what the firm recorded about objectives and risk, and what was actually bought.