June 15, 2024

Investor Arbitration Representation

FINRA arbitration attorneys

Aggressive Legal Representative for U.S. & International Investors in FINRA Securities Fraud & Negligence Matters

The firm has never lost any in-person investor arbitration hearing*
Don’t Settle For Less

Our Unique and Notable Record

The Meissner firm is unlike many other firms who claim to represent investors. One of the most sought after arbitration attorneys, Mr. Meissner directly supervises any case the firm is retained on. Mr. Meissner’s record of never having lost any in person arbitration* has been maintained ever since he opened his own law firm in 2001 after having been a New York prosecutor for the New York Attorney General and Manhattan DA’s Office for over 11 years and then being employed as a Senior Associate at securities arbitration/litigation defense firm defending brokerage houses.

Being a former prosecutor brings many unique aspects to the firm’s practice: carefully screening cases; selective acceptance of securities arbitration matters;
and refusing to adopt the “mill” approach to the practice by accepting only a limited number of arbitration matters. This enables the arbitration lawyers in the firm to focus on winning each and every case we accept.

From the beginning all client matters are not just reviewed based on the firm’s vast experience, but also all matters are reviewed by independent outside experts with either supervisory experience in major brokerage houses and/or by Certified Financial Planners (CFPs) that have in depth experience in financial planning or by experts in damage analysis. This enables the firm’s arbitration lawyers to build a strong case for clients.

The Meissner firm pays careful attention to screening arbitrators for each case and where appropriate will make inquiries and challenges so that each case is heard by a fair and neutral panel without conflicts. The Meissner firm also utilizes its experience with regulators and even with the press to ensure that all relevant evidence is obtained and heard and not just what the brokerage firm chooses to provide. The firm’s experienced arbitration attorneys and careful attention to each part of the process serves to maximize potential settlement offers and/or hearing results in each case it accepts.

As a result the firm has soundly beaten all investor win statistics related to such awards as publicized by the FINRA and have returned to many investors literally millions of dollars of investor funds. To consult with experienced FINRA arbitration attorneys, contact the Meissner firm. The FINRA arbitration attorneys at Meissner function as legal representative for U.S. and international investors in FINRA securities fraud and negligence matters.

At the law firm of Meissner Associates, the focus is on securities law, including arbitration and other securities matters. With extensive experience working for the New York State Attorney General’s Office in the Securities Investor Protection Bureau and Financial Crimes Unit, Attorney Meissner is well equipped to handle any securities-related claims for consumers and individual investors. He has undertaken a number of highly visible securities arbitration cases, reported in the media. For an experienced securities fraud attorney, contact the Meissner firm.

Most of the securities arbitration cases pursued by the firm are suitability cases, in which a stockbroker recommends securities that are unsuitable for an investor’s particular situation. A typical suitability case may involve retired clients who live on a fixed income, and who should not invest in speculative securities or limit their portfolios to one or two stocks.

Another example of an unsuitable broker recommendation is the purchase of an annuity by an elderly person. A broker can earn a substantial commission by selling an annuity product, but such investments are generally inappropriate for elderly persons. The Meissner firm’s arbitration attorneys represent clients in all types of suitability and other arbitration claims, including those related to employee stock options and the over-concentration of speculative securities within a portfolio.

To a layman, the complexities associated with securities arbitration cases might seem intimidating. The Meissner firm delegates experienced arbitration lawyers to represent you in the best manner possible.


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Mr. Meissner with his former employer Manhattan DA MorgenthauMr. Meissner at a press conference while with Attorney General’s Office

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The Meissner firm represents clients in securities fraud & negligence matters related to:

  • Unsuitable CDO (Collateralized Debt Obligations) investments
  • Unsuitable CMO (Collateralized Mortgage Obligations) investments
  • Unsuitable Private Placement investments
  • Inappropriate, speculative investments
  • The exercising and holding of employee stock options – failing to diversify
  • Misrepresentations and omissions – such as failing to apply a strategy or a plan presented to the investor
  • Unauthorized trading
  • Churning or over trading an account
  • Tech wreck – over-concentration of securities in a sector like technology
  • Conflicts of interest
  • Breach of fiduciary duty
  • The improper use of margin in an account
  • Faulty Retirement Advice
  • Lack of bond or fixed income investments


Sale of Private Placements “Income” funds and products such CDOs, Reverse Convertible Notes, & CMOs as Safe Investments

The Meissner firm is investigating and/or has handled matters involving the sale of unsuitable funds and/or products to both individual investors, companies and institutional investors. Firms such as Ameriprise Financial, Securities America, Morgan Stanley, UBS and others have been the subject of investigations by regulators and/or legal/arbitration action. Sales of sophisticated products such as CMOs and CDOs have been prevalent under the guise of safe investments in fixed income investments.. The Financial Industry Regulatory Authority (FINRA) has also stated that the misleading sale of private placements are a very high priority for the authority. Many firms play down the risks of private placements or do not mention the risks at all. One example of private placement fraud which has been the focus of filings is the sale of the private placement of Medical Capital Holdings and Provident Royalties by Securities America, which private placement companies failed in 2009 according to published reports. In 2010 FINRA took its first enforcement action involving the sale of Reverse Convertible Notes or RCNs which have maturity dates ranging from as short as three months to as long as one year. As with all products brokers are responsible to explain the risks of such complex securities and only recommend them to suitable investors. Risks involving reverse Convertibles involve risk of default and inflation risk but also risk related to the underlying linked asset which can lose its value rendering the RCN worthless.

Principal Protected Notes (PPN’s)

The sale of PPN’s as combining the purported safety of bonds with a potential for growth which are not available in other fixed income products. Such products are not free of risk and the terms are complex. In December 2009 FINRA issued a regulatory notice reminding brokerage firms of sales practice obligations not to overstate either the protection offered or the potential returns. FINRA requires numerous disclosures related to the sale of such instruments and as with all securities a proper suitability review before recommending PPN’s. The sale of Lehman Brothers Principal Protected Notes to investors by UBS and other firms, while emphasizing that the principal was guaranteed to be protected have been the focus of multiple investor claims which have led to significant investor awards. If you were misled by the sale of PPN’a by UBS or any other brokerage firm contact the Meissner firm for a free consultation.

Ponzi Schemes

The Meissner firm is investigating and pursuing matters related to the lack of due diligence having been performed by brokerage houses who sold investments which turned out to be fictional. If you were sold products of what turned out to be fraudulent investments and a brokerage firm was involved in or assisted in the sale of such products, investors may have a claim against the brokerage firm for assisting with the fraud and failing to conduct due diligence. Mr. Meissner who has prosecuted a variety ponzi schemes while working as a prosecutor for the NY Attorney General Investor Protection and Financial Crimes units under Eliot Spitzer, represents investors against “middle-man” brokerage firms which in effect assisted in the sale of fraudulent securities and failed to perform due diligence.

Collapsed Purported “Conservative” Bond Funds

In the recent market turmoil investors who sought conservative investments in Bonds were instead invested in Bond Funds which far from being conservative in reality contained mortgage-backed securities containing sub-prime junk. Morgan Keegan is just one such brokerage firm who has been the subject of numerous complaints related to such sales which in reality included risky CDO products. If you were misled into investing in what was represented to be safe bond funds which cratered, you may have been a victim of misleading sales tactics which did not disclose the sub-prime investments which in reality was contained within such funds. If you believe that you were improperly invested in such a fund and/or were not warned of the risks, causing loses in excess of $100,000 or more contact the Meissner firm.

Employee Stock Option Suitability Examples

Brokers may not always properly advise the employees of companies that provide stock or stock options of how to diversify or hedge their employee stock / stock options. The failure to provide suitable advice with respect to such stock / stock options may lead to a claim against the brokerage firm and/or broker.

The Meissner firm has handled a series of such matters including those involving Doubleclick employees and AOL / AOL Time Warner employees.

Prior Experience Representing Brokerage Firms

Immediately following his leaving the Attorney General’s Office and prior to starting his own practice, Mr. Meissner worked as a Senior Associate in the well known boutique securities defense firm of Gusrae, Kaplan and Bruno. While at such firm Mr. Meissner was retained by MSDW to represent brokers in various matters as well as other brokerage firms. As a result, Mr. Meissner knows the “tricks of the trade” that the industry utilizes in defending various matters and has incorporated such experience into his practice so as to obtain the best results possible for his clients.

Contact a highly experienced securities arbitration lawyer. Call the Meissner firm’ to handle securities arbitration cases from across the United States and around the world.

The firm has never lost any in-person investor arbitration hearing*
Don’t Settle For Less

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*Disclaimer: Prior results cannot and do not guarantee or predict a similar outcome with respect to any future matter, including yours, in which a lawyer or law firm may be retained. 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.