Litigation and Arbitration Department Partnership Dispute Litigators

Our Litigation and Arbitration Department has extensive experience representing companies and individuals involved in civil litigation, arbitration, government investigations and enforcement matters. We handle matters of every size. Our commitment to our clients is unwavering.
We have a long-standing reputation in the securities industry and have built a renowned practice known for its effective and pragmatic counsel in a range of securities litigation, regulatory defense, and arbitration matters.

We also have significant experience representing clients in a variety of other commercial litigation matters.

Securities Litigation, Regulatory Defense, and Arbitration

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.

Commercial Litigation

Our Commercial Litigation practice represents clients in litigation and arbitration matters nationwide, from routine disputes and actions to complex litigation. We litigate in the trial and appellate courts (state and federal), including in multi-district litigation, actions involving injunctive and other equitable relief, and arbitration proceedings conducted at AAA, JAMS or various self-regulatory organizations, such as FINRA.We solve our clients’ problems by providing the most “hands-on” and commercial approach, whether in the prosecution or defense of a matter. We provide clients with the combination of experienced representation expected from the largest law firms,along with the competitive billing rates and attention from partners often found at smaller boutique law firms.

Our litigators are familiar with a broad array of commercial matters and industries, and we undertake to learn about our clients’ business affairs and to determine the appropriate goals in any dispute or litigation. We engage with our clients at the earliest point of a dispute to look for creative ways to resolve disputes and alternatives for dispute resolution, like mediation and arbitration.

Commercial Litigation Capabilities

We handle cases involving a wide variety of subject matter and industries. In addition to those areas handled by our Securities Litigation, Regulatory Defense, and Arbitration practice, we regularly represent clients in the following commercial matters:

• Business and contract disputes and litigation
• Shareholder/partnership disputes, dissolution, and break-ups (“corporate divorce”)
• Shareholder derivative actions
• Business torts, including breach of fiduciary duty, fraud, unfair competition, and unlawful use of trade secrets
• Real estate litigation, including breach of sales agreements and related contract disputes, co-op and condominium disputes, landlord-tenant and other lease disputes
• Labor and employment disputes, including restrictive covenants, non-solicitation and non-competition disputes
• Merger, acquisition and divestiture disputes
• Municipal procurement and government contract disputes
• Bankruptcy and creditor rights litigation
• Construction litigation and disputes
• Intellectual property disputes, including licensing, trademark and copyright disputes
• Government and regulatory investigations and enforcement proceedings
• Class and collective actions
• Trusts and estates litigation
• Personal and high-net worth controversies and litigation
• Arbitration and mediation in a variety of areas

For additional information regarding related practice capabilities, please visit:

• Broker-Dealers