Areas of Practice

Securities Litigation & Arbitration 

Greensfelder has extensive experience in defending securities-related claims in venues throughout the country. We have litigated hundreds of such claims in federal and state courts, in arbitrations before the Financial Industry Regulatory Authority (FINRA) including its predecessor forums before the National Association of Securities Dealers and the New York Stock Exchange. We also regularly represent firms in connection with regulatory inquiries, investigations and litigation including negotiating and defending cases filed by state, federal and industry regulators. Our attorneys have not only defended securities litigation for years, but also served on securities arbitration panels and lectured extensively on topics impacting the industry. We are intimately familiar with the unique rules and practices of the industry and how they are specifically applied in various jurisdictions.

Our experience covers the full range of claims and liability theories. We frequently and zealously defend brokerage firms in actions by customers alleging state and federal securities law violations, misrepresentations, unsuitability, churning, misappropriation, and negligent supervision in connection with their accounts. We also vigorously defend brokerage firms in class actions, as well as claims filed by multiple plaintiffs or claimants involving product failures and instances of a broker’s allegedly unapproved outside business activity. We routinely enforce arbitration provisions through motions to compel arbitration. With respect to employment matters, the Firm handles all types of disputes between brokerage firms and their registered representatives. These disputes include claims alleging discrimination, wrongful termination, defamation, and other wrongful conduct in connection with Form U-5 filings. On many occasions, we have prosecuted legal and equitable claims brought to protect against the improper use of confidential customer lists.

Whatever the securities-related claim, and whatever the forum, our clients reap the benefits of our extensive experience and cost-effective and aggressive representation.

For more information, please contact Lisa Nielsen, who heads this practice area and can be reached at 314-516-2669 or lan@greensfelder.com.

Attorneys / Securities Litigation & Arbitration

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