Disputes, Arbitration and Litigation



We advise investment professionals and financial institutions (broker/dealers, investment advisors, banks, trust companies, etc.) on myriad securities-related matters in order to reach their goals, serve their clients and avoid disputes. Yet, issues may still arise, and, when they do, we successfully and efficiently defend disputes with customers and regulators alleging:

  • State and federal securities law violations
  • Industry regulation violations
  • Misrepresentations and omissions
  • Unsuitability
  • Churning
  • Negligent supervision
  • Conversion
  • Elder abuse
  • Breach of fiduciary duty brought in arbitration and/or court – representing officers, directors and other fiduciaries

We represent clients in securities arbitrations before the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authority (FINRA), and in associated state and federal court proceedings.

Our class action experience includes representing firms and individuals in matters covering a range of securities-related claims involving:

  • Underwriting
  • Due diligence
  • Municipal bonds
  • Stock options
  • ESOPs


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