Securities Arbitration and Litigation
Employment Law Disputes
Securities Regulatory and Enforcement Defense
We are a boutique litigation firm specializing in the defense of brokerage firms, financial advisors and other securities industry professionals.
We represent nationally recognized financial institutions and individuals. Unlike large firms, we offer better pricing, fewer conflicts and more personal interaction. Our cases are never overstaffed, and we avoid the inefficiencies so common at larger firms.
We view every case as a high-stakes matter, regardless of the amount in controversy. We litigate aggressively and passionately in four core practice areas, with the singular objective of obtaining the best possible result for our clients.
In 2011, Gene Small obtained a dismissal after trial of a $10 million dollar FINRA arbitration claim on behalf of Bear Stearns filed by an investor in a Bear Stearns mortgage backed hedge fund. Stone vs. Bear, Stearns & Co., Inc. et al, FINRA Case No. 08-01185. Gene’s continued representation of Bear Stearns on appeal led to the affirmance of the award in the Eastern District of Pennsylvania and in the United States Court of Appeals for the Third Circuit.