Securities Arbitration, Litigation & Regulatory

We regularly represent broker-dealers and investment advisors in customer arbitrations, employment-related arbitrations, and in regulatory matters. We also represent individual and corporate investors in pursuing sales practice claims in arbitration.The majority of these arbitrations are with FINRA (Financial Industry Regulatory Authority) and involve client sales practice claims or intra-industry employment disputes.

Since 2000, our attorneys have handled well in excess of 500 such arbitrations. We have extensive experience taking arbitrations to hearing and navigating any post-award litigation that may ensue. We have repeatedly worked through the finer details of the recurring issues and themes that these types of cases involve. As a result, we are well prepared for new and fast-developing complications.

We regularly represent wirehouse firms, bank channel broker-dealers, discount brokerage firms, independent broker-dealers, investment advisors, and clearing firms.

The know-how our firm gained as in-house arbitration counsel, and as outside counsel for other major wealth management firms, and for investors, makes us well suited to provide pragmatic, cost-effective service. Let us put our experience to work for you.

Here is a snapshot of what we do:

• Thoroughly investigate and defend or pursue all manner of sales practice and investment related claims
• Thoroughly investigate and defend against employment claims (including recruitment claims)
• Diligently enforce and pursue transition loan/bonus, promissory note and other similar obligations
• Represent and wisely advocate for firms or individuals in matters initiated by regulators at the federal, state and self-regulatory levels