Broker-Dealer Arbitration Counsel for  Securities Professionals

When a client files a claim or a regulator initiates an investigation, your career and reputation are on the line. 

At Kamps Legal, we represent broker-dealers, registered representatives, and other securities professionals in FINRA arbitration, enforcement actions, and intra-firm disputes throughout NY and CA.

Whether you’re responding to a Statement of Claim or seeking to clear your Form U5, we provide strategic legal advocacy to protect your license, livelihood, and reputation.

For a confidential consultation.

What Is Broker-Dealer Arbitration?

Most disputes involving broker-dealers and registered reps are resolved through mandatory arbitration, not court. If you’re registered with FINRA, you’ve likely signed a pre-dispute arbitration agreement—meaning almost all customer and firm-related conflicts will be heard before a FINRA arbitration panel.

Common arbitration matters include:

Allegations of unsuitable investments or misrepresentation.

  • Breach of fiduciary duty or negligence

  • Unauthorized trading or excessive commissions

  • Promissory note and signing bonus disputes

  • Termination and U5 disclosure conflicts

  • Regulatory violations investigated under FINRA Rule 8210

These cases move quickly and carry serious consequences. Early legal intervention is key.

Broker-Dealer Disputes We Handle

Kamps Legal represents both individuals and firms in a wide range of securities industry disputes, including:

Client and Investor Claims

  • Suitability, churning, or misrepresentation claims

  • Failure to supervise or breach of fiduciary duty

  • Claims seeking financial restitution or sanctions

Regulatory Enforcement Defense

  • FINRA 8210 information requests and on-the-record (OTR) interviews

  • SEC or state securities investigations

  • Defense against fines, suspensions, or permanent bar

Form U5 Disputes and Expungement

  • Removal of defamatory, misleading, or false termination language

  • Expungement petitions through FINRA arbitration

  • Strategic resolution before public disclosure impacts CRD/FINRA BrokerCheck

Compensation and Promissory Note Disputes

  • Removal of defamatory, misleading, or false termination language

  • Expungement petitions through FINRA arbitration

  • Strategic resolution before public disclosure impacts CRD/FINRA BrokerCheck

Internal Disputes and Partner Conflicts

  • Disagreements between reps, partners, or firm leadership

  • Transition disputes when moving books of business

  • Enforcement of restrictive covenants and non-competes

  • We handle FINRA, SEC, and DFPI matters daily.

  • Not all business lawyers are familiar with arbitration rules—we are.

  • We help minimize reputational damage and preserve your standing in the industry.

  • Transparent, predictable billing structures for arbitration and compliance work.

  • National service with national securities expertise law insight.

Why Choose Kamps Legal?

Who We Serve

We represent a wide range of financial professionals in  and beyond, including:

  • Registered representatives

  • Broker-dealer firms

  • Investment advisers affiliated with BDs

  • Compliance officers and general counsel

  • Securities industry professionals under investigation or facing arbitration

 FAQs

  • It all begins with an idea. Maybe you want to launch a business. Maybe you want to turn a hobby into something more. Or maybe you have a creative project to share with the world. Whatever it is, the way you tell your story online can make all the difference.

  • Yes—if the information is defamatory or inaccurate, expungement is possible through FINRA arbitration. Kamps Legal has experience petitioning for successful U5 expungements.

  • Most cases resolve within 12 to 18 months, though settlement may occur earlier. The process includes pleadings, discovery, hearings, and final award.

  •  Possibly. Some arbitration awards include attorney fees, but it depends on the contract, claim type, and panel discretion.

Get Trusted Arbitration Counsel from Kamps Legal

When your license and reputation are at risk, you need experienced legal support. Kamps Legal delivers responsive, knowledgeable advocacy tailored to the securities industry.