Our attorneys represent customers, brokerage firms, registered representatives, financial planners, and investment advisors in securities arbitrations by the NASD, NYSE, and AAA. Some of the most common claims at issue include unsuitability, breach of fiduciary duty, fraud and misrepresentation, negligence, and negligent supervision.
We handle pre-and post-arbitration proceedings in state and federal courts, including the enforcement of arbitration agreements and the confirmation of arbitration awards.
Our attorneys selectively represent individual financial professionals on employment issues and other legal matters, such as disputes arising from transitions in employment and disciplinary investigations and proceedings.
Our team works collaboratively with other firms' lawyers who concentrate in investment management issues and regulatory compliance by broker-dealers and registered investment advisors.