South Florida Securities Arbitration & Litigation Lawyer

Protecting Investors with Rabin Kammerer Johnson

When investment fraud, financial misconduct, or broker negligence disrupts your financial security, it’s not just money on the line—it’s your future. Securities arbitration and litigation serve as the legal backbone for resolving disputes between investors and financial institutions. In South Florida, a region home to retirees, high-net-worth individuals, and sophisticated investors, these disputes are unfortunately all too common. If your brokerage account has suffered due to mismanagement or deception, South Florida securities arbitration & litigation lawyers at Rabin Kammerer Johnson are here to help you hold financial professionals accountable and recover what you’ve lost.

What Is Securities Arbitration?

Securities arbitration is a legal process for resolving disputes between investors and their financial advisors or brokerage firms. Most of these cases are handled through the Financial Industry Regulatory Authority (FINRA), which requires brokers and investment firms to resolve disputes outside of traditional courtrooms.

Arbitration offers a faster and often less costly resolution than litigation. However, it’s still a legal process—and you need an experienced attorney to guide you. Arbitration awards are binding, meaning you typically can’t appeal if you lose. That’s why it’s so important to present a strong case from the very beginning.

Securities Litigation vs. Arbitration: What’s the Difference?

• Arbitration is usually required if you signed a customer agreement with a FINRA-member brokerage firm. These cases are heard before a panel of arbitrators who review evidence and issue a final decision.
• Litigation takes place in state or federal court and may be available when arbitration is not required, or if other legal claims—such as class actions or fraud against third parties—apply.

At Rabin Kammerer Johnson, we handle both. Whether your case is best suited for arbitration or litigation, we tailor our strategy to maximize your recovery and minimize stress.

Common Securities Disputes in South Florida

The South Florida investment landscape is diverse, from Palm Beach retirees to Miami tech investors. Unfortunately, this diversity also invites a range of misconduct. Some of the most common securities disputes include:

Unsuitable Investments
Brokers have a duty to recommend investments that align with your financial goals, risk tolerance, and experience. If they push products that are too risky or complex for your profile, you may have a claim for unsuitability.

Overconcentration
Putting too much of your portfolio into a single investment, sector, or type of asset increases risk. If your losses stem from overconcentration, your advisor may have breached their duty.

Unauthorized Trading
Brokers must obtain permission before making trades unless you’ve signed a discretionary account agreement. Unauthorized trades are a serious violation of FINRA rules.

Churning
Excessive trading in your account—primarily to generate commissions for the broker—is known as churning. This unethical practice can quickly erode your investment account.

Misrepresentations and Omissions
If an advisor misstates the risk or performance of an investment—or fails to disclose essential information—you may have a claim for fraud or negligent misrepresentation.

Ponzi Schemes and Fraudulent Investments
South Florida has a long history of Ponzi schemes and fraudulent private placements. If you were tricked into a scam, legal action may help you recover some of your funds.

Failure to Supervise
Brokerage firms must supervise their representatives. If misconduct occurred under a firm’s watch, the firm itself may be liable for damages.

Breach of Fiduciary Duty
In certain situations—especially with investment advisers—a fiduciary duty exists. Breaching this duty by acting in the advisor’s interest rather than the client’s is grounds for legal action.

FINRA Arbitration Process: What to Expect

1. Filing the Claim
   Your attorney files a Statement of Claim detailing the facts and legal basis for recovery.
2. Response and Discovery
   The brokerage firm responds. Both sides exchange key documents. FINRA has specific rules for what firms must disclose.
3. Arbitrator Selection
   A panel of neutral arbitrators is selected. In cases over $100,000, the panel typically includes three arbitrators.
4. Hearing
   Similar to a trial, both sides present evidence, call witnesses, and make arguments.
5. Decision
   The arbitrators issue a binding award, usually within 30 days of the hearing.

Rabin Kammerer Johnson brings decades of experience to every stage of the arbitration process, from filing the initial claim to cross-examining witnesses and preparing you for testimony.

Securities Laws That May Apply

Securities arbitration and litigation often rely on both federal and state laws, as well as FINRA rules. Key legal tools include:

• Securities Exchange Act of 1934
• Securities Act of 1933
• Investment Advisers Act of 1940
• Florida Securities and Investor Protection Act
• FINRA Rule 2111 (Suitability)
• FINRA Rule 2010 (Standards of Commercial Honor)

Understanding these laws and how they interact with your specific situation is key to building a winning case. Rabin Kammerer Johnson is well-versed in both regulatory and court-based strategies.

Finding the Best Securities Arbitration Lawyer Near You

Choosing a lawyer for a securities case isn’t just about credentials—it’s about trust, experience, and results. You need someone who’s not just familiar with finance, but who’s fought and won arbitration and litigation cases for real clients. The best South Florida securities arbitration attorneys will:

• Understand FINRA procedures inside and out
• Know how to gather key documents and identify red flags
• Have access to financial experts and forensic accountants
• Offer honest assessments about the strength and value of your case

Rabin Kammerer Johnson is proud to be one of the most trusted firms for investors in South Florida. Our attorneys are frequently invited to speak at legal conferences, write about financial litigation, and are consulted by media on matters involving investment fraud.

If you’re looking for the best securities arbitration lawyer near you, we invite you to speak with our team confidentially.

FAQs: Securities Arbitration & Litigation

Can I still sue my broker if I signed an arbitration clause?
If you signed a customer agreement with a FINRA-member firm, arbitration is likely mandatory. You can still pursue a strong claim—just through FINRA instead of court.

How long do I have to file a claim?
FINRA generally requires claims to be filed within six years of the alleged misconduct, but other statutes of limitation may apply depending on the case details.

How much does it cost to file a securities arbitration case?
FINRA charges a filing fee based on the amount of your claim. Legal fees vary depending on the complexity of your case, but Rabin Kammerer Johnson often works on a contingency fee basis—meaning you don’t pay unless we recover for you.

What’s the average recovery in arbitration cases?
Every case is different. Some investors recover most of their losses; others settle for a portion. Much depends on the evidence, the conduct involved, and the arbitrators assigned.

Can I sue the brokerage firm as well as the individual broker?
Yes, in most cases, you can pursue claims against both the broker and the firm—especially if the firm failed to supervise or was complicit in the wrongdoing.

Let Rabin Kammerer Johnson Help You Recover What Was Lost

Rabin Kammerer Johnson has built a respected reputation across Florida and nationwide for handling complex investment fraud cases. Our team includes experienced trial lawyers and former federal prosecutors who understand financial fraud from all angles. We combine legal sophistication with a personalized, compassionate approach.

When you work with us, you can expect:

• Meticulous review of your investment history
• Expert analysis of brokerage firm conduct
• Aggressive pursuit of recovery through arbitration or court
• Clear communication every step of the way
• A deep understanding of FINRA’s unique rules and procedures

We’ve helped retirees recover life savings, business owners rebuild after financial losses, and families pursue justice after falling victim to fraud.

Investment misconduct can shatter confidence, upend retirement plans, and devastate families. But you don’t have to navigate the aftermath alone. Whether you’ve been a victim of misrepresentation, excessive trading, or outright fraud, the experienced attorneys at Rabin Kammerer Johnson are ready to help. We’ve handled hundreds of arbitration and litigation matters and recovered millions for clients across South Florida. If you suspect wrongdoing in your brokerage account, act quickly. Time matters—and so does choosing the right advocate.

Contact Rabin Kammerer Johnson today to speak with a trusted South Florida securities arbitration and litigation attorney. Let us help you restore trust in your investments and pursue the justice you deserve.