Securities Arbitration Lawyers

Sands Anderson's securities arbitration lawyers prosecute and defend matters on behalf of individual investors, securities firms, and individual registered representatives in alternative dispute resolution. In particular, the firm's securities arbitration team focuses on clients that have submitted to mediation or arbitration before the National Association of Securities Dealers Dispute Resolution ("NASD-DR") or the New York Stock Exchange ("NYSE"). The NASD-DR is known as the largest and most effective dispute resolution forum in the securities industry, handling some 90 percent of all such arbitrations and mediations in the United States.

Most brokerage firms require their customers to contractually agree to submit all disputes arising in connection with their securities account to binding arbitration. These agreements are customarily found in new account agreements, margin or option account agreements, or on the back of monthly statements. The NASD-DR Code of Arbitration Procedure and the Arbitration Rules of the NYSE simplify formal pleading requirements, streamline pretrial motions, and limit discovery with the intent of substantially reducing the costs of resolving securities disputes. Typically, an arbitration panel will consist of a stockbroker or other member of the securities industry, a lawyer, accountant, or other professional. Our securities arbitration lawyers understand the complex and sophisticated issues arising in securities cases, and how to best present these matters to professional arbitration panels.

Founded over 150 years ago, the firm is grounded on a philosophy and commitment to excellence, integrity and reliability.  The firm's securities arbitration attorneys in Virginia have successfully represented clients in several securities-related matters, including but not limited to:

  • Defending regional broker-dealers and their registered representatives in claims involving suitability, churning, failure to supervise, breach of fiduciary duties, and breach of contract;
  • Successful resolution of a dispute involving a Rule 144 transaction (sale of restricted securities) seeking in excess of $1,000,000.00 in damages;
  • Obtaining a panel decision in favor of a local brokerage firm and its stockbrokers in claims made by a customer regarding the trading of index options;
  • Successfully defending a New York brokerage firm and its registered representative relating to allegations of improper parking of securities and self-dealing in customer accounts.

Sands Anderson is capable of representing securities arbitration clients in various geographic locations given its multiple offices across Virginia.  Combining its physical presence with the lawyers ' experience handling professional litigation and arbitration cases, we strive to provide each client the best representation regardless of where the claim may arise. From our offices in Virginia, the securities arbitration attorneys of Sands Anderson serve clients throughout the Mid-Atlantic.

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Our team of Securities Arbitration Lawyers and support staff are experienced in handling cases like yours. You will benefit from our experience. We have Securities Arbitration Lawyers in our offices throughout Virginia and North Carolina. Find an office near you.




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