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Securities Litigation and Arbitration

Recent developments in the securities industry and the economy as a whole have led to an explosion of claims involving registered representatives, investment advisors, and their firms. Our Securities Litigation and Arbitration Practice Group has decades of experience representing broker-dealers, registered representatives and other investment professionals in a wide-array of securities industry claims before numerous state and federal courts as well as in arbitrations before the Financial Industry Regulatory Authority (“FINRA”). Because of our experience, we have not only a deep understanding of the complex subject matters that often arise in this specialized area of the law, but also an in-depth knowledge base concerning the individual judges and arbitrators who decide these claims, and the experts who often testify in such matters.

While our attorneys have decades of experience representing industry clients in litigation matters, handling claims effectively and efficiently under today’s trying conditions requires more than just a lawyer who understands how to litigate. It is also critical to understand the business of the securities industry and the underlying financial products and services at issue. With an office just a stone’s-throw away from Wall Street, our attorneys make every effort to stay one step ahead of emerging trends and developments in the securities industry in order to provide timely and well-informed guidance to our clients.

Our diverse client base includes wirehouse firms, independent broker-dealers, discount brokers and full-service firms, as well as the registered representatives, compliance and supervisory personnel and the principals / owners associated therewith. We have an in-depth understanding and appreciation of the different issues that often arise with respect to each of these business models.

Our Securities Litigation and Arbitration Department handles cases that fall within two broad categories: