FINRA Securities Arbitration
Matthew Dallas Gordon LLC handles securities and employment cases before FINRA (Financial Industry Regulatory Authority). FINRA is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 172,000 branch offices and approximately 663,000 registered securities representatives. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. It also performs market regulation under contract for The NASDAQ Stock Market, the American Stock Exchange, the International Securities Exchange and the Chicago Climate Exchange.
Matthew Dallas Gordon LLC represents investors and broker-dealer members in unsuitability investment and employment claims before FINRA arbitration panels. The firm is currently representing a former Regional Manager for ING claiming that ING terminated his RM contract in violation of the Connecticut Franchise Act and the Connecticut Unfair Trade Practices Act. The case raises significant issues of first impression regarding the interplay between state franchise laws and federal laws governing the regulation of the securities industry. The case is helping Matthew Dallas Gordon LLC rapidly become one of the leading law firms in the Hartford area dealing with complex securities related litigation.
