Kevin P. Cummings Attorney and Counselor at Law

Arbitration and Mediation of Securities Claims

Experienced Securities Arbitration and Mediation Lawyer in Brighton, Michigan

Protecting the Rights of Investors and Former Securities Employees Throughout Southeastern Michigan and Central and Northern Indiana

When you sign a brokerage agreement to open an account with a brokerage firm or become employed with a securities firm as a broker, financial planner or investment advisor representative, you were likely presented with a contract full of fine print and legalese. Most securities-related contracts contain an arbitration clause that restricts the parties to using arbitration to resolve disputes. Unlike other civil law actions, securities disputes are typically handled outside of the courtroom.

An experienced securities lawyer with an extensive background in the securities industry, I am dedicated to protecting the rights and aggressively pursuing the interests of my clients through arbitration and mediation in Southeastern Michigan and Central and Northern Indiana. I will listen to your concerns and give you my honest assessment of your situation.

Securities Arbitration

Resolution of most every securities-related dispute is dictated by the terms of the brokerage agreement. When it comes to securities arbitration, it is important to work with an attorney who has the experience to interpret all the fine print in your contract, as well as who understands the applicable FINRA rules, as well as state and federal securities laws and regulations. Arbitration of your securities fraud or employment claim differs from traditional litigation:

• Arbitration is an alternative dispute resolution technique that takes place outside of court.
• The rules of evidence are more relaxed than in state or federal court.
• Disputes are heard by an arbitrator (or panel of arbitrators) who functions like a judge, hearing the case and arriving at a decision.
• Most arbitration decisions are final and binding, which means you are not allowed an appeal.
• Arbitration is often much quicker than litigation. The matter can be resolved in months, rather than years. Time can be of the essence in these matters.

Securities Mediation

Mediation is a negotiation-based method of alternative dispute resolution. Mediation may only be used if both parties to a securities dispute agree to it.

• Rather than an arbitrator, who functions much like a judge, securities mediation involves a third-party neutral who facilitates discussion between both parties to reach an agreement.
• If both parties can reach an agreement, the outcome of mediation is a negotiated settlement.

Securities Law Disputes

If you are involved in any of these securities-related disputes, I will work hard to achieve justice, be it through arbitration or mediation:

• Broker misconduct claims
• Investment advisor representative misconduct claims
• Securities representatives claims against former employers

When your financial well-being relies on the outcome of arbitration or mediation, it is important to consult an experienced, dedicated and honest securities lawyer to help you navigate the complexities of system and protect your interests.

Schedule a Complimentary Consultation

Call 810-494-7194 or contact me online to schedule a free initial consultation.

My office is located in the Mill Parke Pond office suites in downtown Brighton and is open 8:30 am and 5:00 pm Monday through Friday. Appointments for other times and locations are also available. For your convenience, credit cards are accepted.

Knowledge. Experience. Perspective.

Kevin P. Cummings Attorney and Counselor at Law 736 West Grand River Avenue Brighton, MI 48116-2303 Telephone: 810-494-7194 | Fax: 810-225-4146 Map and Directions | E-mail Me

Kevin P. Cummings, Attorney and Counselor at Law, represents clients throughout Southeastern Michigan and Central and Northern Indiana including: Brighton, Ann Arbor, Battle Creek, Canton, Detroit, Farmington, Flint, Grand Rapids, Grosse Pointe, Howell, Kalamazoo, Lansing, Muskegon, Northville, Plymouth, Port Huron, Saline, South Lyon, Troy, Warren, Washtenaw County, Oakland County, Wayne County, Macomb County, Monroe County, Ingham County, Kent County, Kalamazoo County, Livingston County and Genesee County, Michigan. He also represents clients in Fort Wayne, Indianapolis, Allen County, Hamilton County and Marion County, Indiana.