Securities Litigation, Arbitration, and Regulatory Representation

Our attorneys have decades of experience representing national and regional brokerage firms, investment advisers, investment bankers, underwriters, issuers of stock, and registered representatives and associated persons in all manner of litigation, arbitration, and regulatory proceedings. More specifically, the Firm has experience in the following areas:

  • Mass action suits arising out of investments in limited partnerships and private offerings
  • Purported class action suits involving varied issues, ranging from claims of hidden fees to irregularities in clearing trades
  • Derivative actions involving varied issues, ranging from fraudulent research to market manipulation
  • Suits involving claims of mis-pricing public offerings of stock
  • Leading coordination and defense of multiple suits filed in state and federal courts and numerous arbitral fora arising out of same investments
  • Customer disputes involving allegations of unsuitability, unauthorized trading, fraud, violations of state and federal securities laws, breach of fiduciary duty, breach of contract and churning
  • "Selling away" litigation: the Firm's attorneys have handled multiple suits involving issues arising under FINRA rules 3030 and 3040 and are experts on their interpretation and enforcement.
  • Recruiting and raiding matters for both firms who are signatories to the Protocol and those that are not
  • Defense of firms and individuals in regulatory inquiries and proceedings before the SEC, FINRA, the NFA, the CFTC, and various state regulatory authorities
  • Interfirm disputes regarding acceptance of trades, good delivery and other issues
  • Advising clearing firms on arrangements with clearing customers and drafting clearing agreements
  • Employment disputes, including note claims
Linda Broocks
James Hall
Judith Meyer