Securities Arbitration

The attorneys at Britton Johnson PLLC represent individuals and institutions before the Financial Regulatory Authority (FINRA), as well as federal and state court to resolve financial disputes between customers, brokers, brokerage firms and other members of the financial services industry. Our attorneys have experience arbitrating a wide variety of claims, including: suitability, breach of fiduciary duty, negligent misrepresentation, fraud, breach of contract, and the Kentucky Securities Act.

Types of Claims

  • Stockbroker Misconduct
  • Unsuitable Investments
  • Breach of Fiduciary Duty
  • Broker Negligence
  • Broker Mobility Cases