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