Securities Litigation, Arbitration and Enforcement

We have decades of experience in representing and advising investors, brokers, registered representatives investment advisers, and investment advisory firms in securities law matters, including:

• Securities fraud, unsuitability, breach of fiduciary duty and related claims involving investment accounts.

• SEC and state regulatory and administrative actions and proceedings involving registered representatives and investment advisers.

• Intra-industry disputes, including non-competition and restrictive covenant disputes, employment-related claims, contract and commission disputes, forgivable loan disputes, and U-4/U-5 defamation claims.

• Corporate and Shareholder Disputes, including officer and director liability, shareholder and member disputes, corporate governance, and business dissolution.

Given the near universal existence of arbitration agreements in brokerage account and investment advisory agreements, the vast majority of investor-related disputes are resolved through arbitration.  We have extensive experience in litigating these claims in arbitration, both before FINRA and the American Arbitration Association.