Litigation and Arbitration Department Securities Litigation and Arbitration Attorneys

Securities Litigation

Our team prosecutes, defends and counsels clients, including public and private companies, special committees, broker-dealers, investment banks, prime brokers, clearing firms, investment advisors, private investment firms and funds, and other financial services market participants, and their corporate officers and management, as well as accredited and institutional investors, on a wide range of disputes arising from compliance, internal controls, and transactions, including violations of federal and state securities laws, business torts and contract disputes, compensation and covenants litigation, fraud, negligent misrepresentation, and shareholder disputes.

Securities Regulatory Defense

Our attorneys understand that regulatory investigations and enforcement actions commenced by the SEC, FINRA and state-level securities offices directly and immediately impact careers and businesses. Therefore, we are proactive, aggressive, and discreet in our defense of clients. We advise clients on all aspects of securities regulatory defense, including securities inquiries and investigations, interviews, proffers, testimony, Wells submissions, negotiated resolutions, and the full range of administrative and civil enforcement proceedings through hearing or trial and after on appeal (administrative and judicial). We pursue strategies that help our clients resolve matters, resist governmental overreach and maintain client competitiveness.

Securities Arbitration

Our team has extensive experience representing national, regional and independent brokerage firms, investment advisors, officers, directors, brokers, placement agents and finders, in customer and industry mediations and arbitrations before FINRA Dispute Resolution, the American Arbitration Association and JAMS, among other alternative dispute resolution forums. Our nationwide practice vigorously prosecutes and defends matters involving violations of federal and state securities laws, fraud/misrepresentation/omission, negligent supervision, suitability, unauthorized trading, improper trading, churning, breaches of fiduciary duty and contract, violations of restrictive covenants/theft of trade secrets, employee raiding, placement agent disputes, violations of rights of first refusal, compensation disputes, IPO allocations, defamation, employment discrimination, harassment and retaliation claims, best execution disputes, product failures, clearing disputes, selling away and broker expungements.

Broker-Dealer Registration and Membership

Our litigators also advise clients on broker-dealer registration (federal and state) and membership (FINRA and others), including with regard to broker-dealer formation, the preparation of new membership applications, amending membership agreements of existing broker-dealers, obtaining FINRA or other approvals for changes in ownership or control of broker-dealers, purchasing and selling existing broker-dealers, developing and analyzing compliance manuals and supervisory procedures for broker-dealers, counseling broker-dealers on sales practice rules and regulations, conducting annual compliance meetings, and conducting independent annual anti-money laundering reviews.