Securities Arbitration

icon-securitiesMr. Heppt is highly regarded for his experience arbitrating claims before FINRA and the American Arbitration Association. He combines his experience and knowledge of the securities industry with an understanding of the arbitration process, its practicalities, procedures, forums and methods of enforcement. His clients in this area have included both customers  (high net worth individuals and fortune 500 companies) as well as broker/dealers. Recently, he successfully represented a 94 year old man who was charged excessive commissions by his broker with that arbitration being settled prior to the hearing on very terms that were very favorable for his client.