Our attorneys provide clients with highly specialized legal and consulting services in financial services and regulatory law to help them deal effectively with the complexities of the regulatory landscape.
We are nationally recognized for representing securities professionals (financial advisors, branch office managers, and regional managers) in litigation against their former employers and in investigations or enforcement proceedings conducted by the Securities and Commodities regulators. We are also nationally recognized for representing members of the securities industry in regulatory proceedings before Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), state regulators, and other agencies.
We have recovered millions of dollars on behalf of individual investors from national and regional broker-dealer firms for losses resulting from broker-dealer misconduct, unsuitable investment recommendations, and proprietary products failures, including violations of securities industry rules and regulations.
Our attorneys also represent a select group of broker-dealer firms in the defense of securities tribunal arbitration claims.
Working together with our clients, we handle all aspects of dispute resolution, including the defense and prosecution of clients’ claims in arbitration proceedings and in state and federal court.