Brett Sherman is highly qualified to represent parties in securities fraud arbitrations.

• Prior to opening his own practice, Managing Attorney Brett Sherman served as lead counsel for investment banks and financial professionals in more than fifty NASD and NYSE arbitrations. 

• Mr. Sherman achieved an extremely high success rate in his cases, both in terms of arbitration results and low average settlement ratio. 

• As a client of The Sherman Law Firm, you will reap the benefits of Mr. Sherman's experience and success as senior counsel for two of Wall Street's most respected investment banks.

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Learn more about Securities Arbitration-

FINRA Homepage (a terrific resource)       

SEC Arbitration Homepage (also very good)

Some facts about arbitration. 

Almost every time a Wall Street customer or employee sues brokerage firm, the "case" is heard by a panel of FINRA arbitrators rather than a judge.  This is because most brokerage firms require investors and employees to sign agreements that include arbitration clauses.

Securities fraud arbitrations are, for the most part, very similar to lawsuits heard in court.  Securities arbitrations have a few key notable differences from court proceedings, including (a) a panel of three arbitrators, one of whom is appointed chairperson, acts as judge and jury in arbitration, (b) discovery (the prehearing exchange of potential evidence) is much more limited and less time consuming in arbitration, and (c) the rules of evidence are relaxed, often dramatically, in a securities arbitration.

In the past, most securities fraud arbitrations and other Wall Street disputes were filed in the dispute resolution units of either the NASD or the NYSE.  That is no longer the case.  Recently, the dispute resolution and regulatory arms of the NASD and NYSE were merged into the Financial Industry Regulatory Authority (FINRA).  Today, nearly all securities fraud arbitrations, including customer claims against stockbrokers and brokerage firms for investment losses, are heard by FINRA Dispute Resolution.