Find an Attorney
You should consider hiring an attorney to represent you during FINRA arbitration or mediation proceedings.
Even if you choose not to hire an attorney, brokerage firms are generally represented by an attorney.
FINRA Dispute Resolution Services staff members cannot endorse or recommend a specific attorney to you, vouch for the competence of any attorney recommended to you by a bar association or referral service, nor can we recommend the services of one bar association over another. However, if you would like to hire an attorney, please consult the guidance provided by the following resources:
- Bar Associations
- Securities Arbitration Clinics
- The Securities and Exchange Commission (SEC)
- Notice to Attorneys and Parties Represented by Out-of-State Attorneys
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. We encourage you to check with your state, county, or city bar associations.
Securities Arbitration Clinics
If you cannot afford an attorney, the law schools listed below provide legal representation through securities arbitration clinics. These clinics help parties who have smaller claims and who lack the means to hire an attorney. Under the supervision of attorneys, law students will represent qualified parties in arbitrations and mediations in front of FINRA.
Applicants are responsible for determining their own eligibility for support from securities arbitration clinics. Each clinic has its own eligibility requirements (see below). For example, some clinics will not handle claims above a certain amount, or if an applicant’s household income is too high.
Investors who live outside the states below may still be eligible for assistance from the clinics.
Cornell Law School
138 Hughes Hall
Ithaca, NY 14853-4901
William Jacobson, Clinical Professor and Director of the Securities Law Clinic
Phone: (607) 255-6293
Birgitta Siegel, Adjunct Professor of Law
Howard University School of Law
Investor Justice and Education Clinic (IJEC)
2900 Van Ness Street, NW
Washington, DC 20008
Bruce Sanders, Adjunct Professor and Supervising Attorney
Phone: (202) 806-8082
St. John’s University School of Law
St. John’s School of Law, Room 2-26
8000 Utopia Parkway
Queens, NY 11439
Lorraine Benjamin, Clinic Administrative Assistant
Phone: (718) 990-6898
Seton Hall School of Law
Investor Advocacy Project
One Newark Center, Room 429
Newark, NJ 07102
Cardozo Law School
55 5th Avenue, Suite 1118
New York, NY 10003
Elizabeth Goldman, Director
Direct Line: (646) 592-6496
Clinic Line: (646) 592-6418
University of Miami School of Law
University of Miami School of Law
1311 Miller Drive Suite B401
Coral Gables, FL 33146
Phone: (305) 284-8234
Northwestern Pritzker School of Law
750 North Lake Shore Drive
Chicago, IL 60611-3069
Phone: (312) 503-0210
150 W 62nd Street
New York, NY 10023
Phone: (212) 636-6934
University of Pittsburgh School of Law
Barco Law Building
3900 Forbes Avenue
Pittsburgh, PA 15260
Phone: (412) 648-1490
Pace University, Elisabeth Haub School of Law
80 North Broadway
White Plains, NY 10603
Phone: (914) 422-4333
The Securities and Exchange Commission (SEC)
The SEC website provides information on how to find an attorney specializing in securities. For example, you may want to consult your attorney (e.g., a general practice attorney or an attorney who has represented you in another matter) about your options and whether you need an attorney who specializes in securities disputes. The SEC website also notes you can broaden your list of potential securities attorneys by consulting directories of attorneys, like the Martindale-Hubbell® Law Directory.
Notice to Attorneys and Parties Represented by Out-of-State Attorneys
In some jurisdictions, an out-of-state attorney cannot represent a client in arbitration. In these jurisdictions, it is considered the unauthorized practice of law to provide such legal representation without being admitted to the appropriate Bar. Parties and party representatives should seek guidance from the state bar association to learn whether they are permitted to represent parties in arbitrations conducted in that state. The American Bar Association's website lists states that have adopted the Model Rule 5.5, which permits out-of-state attorneys to appear in dispute resolution proceedings under certain circumstances.
For parties and party representatives whose arbitrations are being held in California, Florida, Michigan, and Oregon, please refer to the FINRA Dispute Resolution Services Party's Reference Guide.