Areas of Practice

Securities Litigation & Arbitration 

Greensfelder has extensive experience defending securities-related claims in venues throughout the United States. 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, 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 allegedly unapproved outside business activity. We routinely enforce arbitration provisions through motions to compel arbitration. In addition, the Firm handles all types of disputes that can arise 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. Further, the Firm regularly advises and litigates on behalf of firms on issues related to registered representatives who transition to another firm.  This includes litigating claims, in state and federal court and before FINRA arbitration panels, for breaches of restrictive covenants, misappropriation of trade secrets, breach of fiduciary duty and related claims.  Lastly, the Firm also advises and litigates on behalf of firms who are transitioning experienced registered representatives into their firm. 

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 Wendy Menghini or Chris Pickett, who co-manage this practice area. 

Annual Securities Symposium


Attorneys / Securities Litigation & Arbitration

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