I write Statements of Claim for FINRA Arbitration cases.

My workflow typically employs the following three steps:

Review of the File and Financial Statements

A thorough review of the file and financial statements will reveal the essential elements and facts of the case, while identifying specific areas to target in the client interview. It is the process of gathering a paper trail that will be used to support the claimant’s side of the story. Monthly statements, correspondence, opening account documentation, and the personal characteristics and background of the claimant will begin to mesh into an outline that shows exactly how the claimant was harmed.

In this step it may also be necessary to create a rough estimate of financial damages, research the broker for past regulatory infractions, look up state blue sky laws, and identify the most appropriate FINRA hearing location.  

Interview with the Client

The interview process gives me the opportunity to further illuminate exactly what happened and how best to organize the facts of the case. I will be sensitive to the client’s willingness to disclose information, and I will preserve the client’s sense of dignity and privacy.

In some cases, it may be easier for an attorney to be the only one who contacts his or her client. In this kind of situation, I work from the intake information and attorney notes provided, and if any additional information is required, I simply request that the attorney obtain it from the client.  

Writing the Statement of Claim

In this final stage, I will write the Statement of Claim based on the facts I gathered from the file and interview. The Statement of Claim will organize the facts into a cohesive, chronological story that tells how the losses happened and why. The writing will be straightforward and easy to read. The finished product will be a fully edited Statement of Claim that is ready for your review and signature. 

I have written hundreds of Statements of Claim for FINRA Arbitration cases, and each file I touch is treated with the utmost respect and care for the client. I am highly sensitive to the personal nature and confidentiality of each case, and the security of your client's information is paramount.

I look forward to helping you achieve the best possible outcome in your client’s case.