We advise investment professionals and financial institutions on securities-related matters and defend disputes with customers and regulators alleging state and federal securities law violations, industry regulation violations, misrepresentations and omissions and other claims.

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 in the securities arena includes claims involving underwriting, due diligence, ERISA, municipal bonds, stock options and ESOPs. 

Click here to learn more about our work in the securities and financial services industry.