Securities Fraud, Broker Arbitration, Employment Arbitration



John has successfully represented clients in both the Courts and arbitrations based upon unsuitability (placing an investor in an improper investment) and churning (wherein a broker makes a trade simply to generate a commission or fee).

Most individuals have some form of retirement savings tied up in the securities markets.  We rely upon the advice of registered brokers in making decisions regarding what investments or investment strategy is best for us based upon our age, desired retirement date, financial needs, and risk aversion level.  While the stock markets have often been described as difficult to predict as the weather, the truth is that sometimes the losses that occur are not due to “market conditions” but rather broker or securities fraud. 

Most of these cases are not heard in a courtroom but rather by an arbitration panel assembled by FINRA (previously NYSE or NASD).  These securities arbitration cases have their own procedural and discovery rules that are vastly different from the traditional courts.  John has successfully represented clients in the arbitration setting.

Prior to investing with any financial advisor or registered broker, you should investigate that individual with the Oklahoma Department of Securities.  You can do so by utilizing this link .   This site also provides other useful securities education tools. 

John E. Barbush has also successfully represented brokers in employment disputes with their former houses over the issues of outstanding notes, unpaid commissions/bonuses, and theft of books of business.