SECURITIES LAW

We have developed specific expertise in disputes arising out of the securities industry, including the Financial Industry Regulatory Authority (FINRA) arbitration process. Among others, we handle the following types of securities law matters:

Customer Claims – claims against stockbrokers, brokerage firms, financial planners, and investment advisors.

Securities fraud
Unsuitable recommendations
Breach of fiduciary duty and unauthorized trading
Conversion of funds
Negligence / malpractice
Failure to supervise
Churning
Elder abuse
Ponzi schemes

Employment Disputes - negotiating and, as needed, litigating employment disputes with broker-dealers and advisory firms over terminations, promissory notes, compensation and defamation

FINRA inquiries, investigations and disciplinary actions

SEC investigations and civil actions