Kiefner LawLaw Offices, P.A.

FINRA arbitration and mediation. Most monetary and business disputes among investors, securities firms, and individual registered representatives are resolved at a Financial lndustry Regulation Authority, Inc. (FINRA) arbitration forum. Most investor agreements contain a clause requiring FINRA arbitration instead of civil court litigation where disputes occur. Mandatory FINRA arbitration does not apply to RIA's, but rather one must look to the written advisory agreement. Even if an investor agreement with a broker-dealer does not contain this clause, under FINRA rules the FINRA arbitration forum must be utilized upon a client request. If you are involved in a FINRA arbitration or mediation, contact Kiefner Law Offices, P.A. for experienced representation.

Civil court. When FINRA arbitration is not required, such as a dispute involving a non-registered person the ultimate remedy is in civil court unless there is a separate arbitration clause in an advisory agreement providing for other than the FINRA forum. Whether you are a plaintiff desiring relief or a defendant with a pending claim against you, contact Kiefner Law Offices, P.A. for a consultation.

Civil injunction enforcement action. The Securities and Exchange Commission and state regulatory authorities bring enforcement actions against broker-dealers, registered investment advisers, investment companies (such as mutual funds), and others involved in securities transactions. If there is a regulatory enforcement action pending against you, contact Kiefner Law Offices,P.A. for a consultation.

Administrative complaint or proceeding. Federal and state administrative agencies control the licensing of broker dealers, registered investment advisers, investment companies, and their affiliated and associated ndividuals. If you have been threatened with license suspension or revocation by the Securities Exchange Commission or by a state administrative blue-sky agency, contact Kiefner Law Office, P.A. for a consultation.

Administrative complaint or action. Various entities are self-regulatingand may bring action against a registered entity or associated individual. If the New York Stock Exchange (NYSE), NASDAQ, the Financial lndustry Regulatory Authority (FINRA), or other self-regulated entity has an action threatened or pending against you, contact Kiefner Law Office, P.A. for a consultation.

A SPECIAL NOTE TO ATTORNEYS HANDLING WHITE-COLLAR CRIMINAL CASES AND OTHER SECURITIES RELATED CASES:

Kiefner Law Offices, P.A. has special expertise that may help you with your client's case. Our firm provides consultation in these cases and has qualified and served as an expert witness