How to Find an Attorney

FINRA Dispute Resolution staff members are often asked to make recommendations or referrals regarding legal representation. In our capacity as impartial administrators of this alternative dispute resolution forum, rather than specific recommendations, we can offer the following guidance:

 

For general information on obtaining legal assistance, we suggest you contact your state, county, or city bar association.

 

The SEC offers the following sound advice on its Web site:

 

If you need help in finding a lawyer who specializes in resolving securities complaints, you may want to try the following:

  • If you already have a lawyer, consult with him or her about your options and whether you need a lawyer who specializes in securities.
  • You may want to call several bar associations to obtain a varied listing of lawyers in your area. Many lawyers will offer to consult with you initially for free or charge a minimal fee.
  • Broaden your list of potential securities lawyers by consulting directories of attorneys. The Martindale-Hubbell® Law Directory can be found at many libraries or at their website. It lists lawyers by state and jurisdictions. Some state and local bar associations also compile directories and may list attorneys according to specialty.

For your convenience, we have listed below the names of two national bar associations that may provide you with referrals in your area. This is not a complete list and you may want to check with your state, county or city bar associations. We cannot endorse or recommend a specific lawyer to you, vouch for the competence of any lawyer recommended to you by a bar association or referral service, nor recommend the services of one bar association over another.

 

The SEC Web site also offers information about bar associations and other directories of attorneys who specialize in securities complaints. You may also find additional information at these web sites:

 

 

Clinics—Several law schools in California, Illinois, New York, and Pennsylvania provide legal representation through securities arbitration clinics. These clinics help parties who have smaller claims and who are unable to hire a lawyer. Parties need to determine if they qualify for help from a clinic; some clinics will not handle claims above a set amount, or if your household income is too high. Please check directly with each clinic for information.

 

Investors who live outside California, Illinois, New York, and Pennsylvania may be able to request help from the clinics. Please check directly with each clinic for information.

 

Click on each state for detailed eligibility requirements and information about the clinics:

 

California

 

  • University of San Francisco

 

Illinois

 

  • Northwestern University

 

New York

 

  • Albany Law School
  • Brooklyn Law School
  • Benjamin N. Cardozo School of Law
  • Cornell University Law School
  • Fordham University School of Law
  • Hofstra School of Law
  • New York Law School
  • Pace University School of Law John Jay Legal Services
  • St. John's University School of Law
  • Syracuse University College of Law

 

Pennsylvania

  • Duquesne University School of Law - Pittsburgh, PA