Carlson & Dennett, P.S.



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FINRA Simplified Arbitration Cases Under $25,000

Flat fee representation for small securities arbitration claims. For securities cases in which damages total $25,000 or less, FINRA provides a simplified arbitration process in which the parties submit their dispute to a single arbitrator on the written materials only, with no hearing. While this is an efficient way to handle small claims, it can be difficult for an individual customer to go up against brokerage firm lawyers. It can also be daunting for that customer to hire an attorney on an hourly basis given the amount of money at issue.

As a solution to this dilemma, we now take select simplified arbitration cases on a flat fee basis. Clients receive the benefit of our experience litigating these cases, our large library of materials, and our years of accumulated briefing without worrying about the amount of hourly fees they'll end up paying. We handle drafting the initial claim, conducting any necessary discovery, and submit any final briefing. We believe this is the most cost-effective way of handling disputes of this size. Please contact us if you believe simplified arbitration is appropriate for your dispute.

 News for the week of February 16, 2009:  We are currently reviewing cases for investors who had losses of $25,000 or less in Charles Schwab YieldPlus Funds (SWYPX, SWYSX).  If your account suffered losses in these securities please contact us.


1601 5th Avenue, Suite 2150 Seattle, Washington 98101 (206) 621-1111


Carlson & Dennett, P.S. serves clients around the country in FINRA Arbitration and in Seattle, Tacoma, Bellevue, Spokane, Everett, Olympia, Redmond, Kirkland, Renton, Lakewood, Kent, Spokane, King County, Snohomish County, Pierce County, Thurston County, Kitsap County, Jefferson County, Whatcom County, Puget Sound, and the Kitsap Peninsula.



The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation.

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