Securities Arbitration & Litigation

We have a 25-year track record of winning cases that can be matched by few firms of our size. With a dedicated focus on the financial services arena, we represent broker-dealers, registered representatives and other industry participants in a broad spectrum of securities disputes in court and in FINRA arbitration. Our founding partner has personally tried approximately 150 FINRA arbitrations and has a lengthy record of success in those matters that have been tried to verdict. Our founding partner has also litigated sales practice disputes of virtually every type, encompassing a wide variety of products, including equities, fixed income, options, commodities, mutual funds, hedge funds, limited partnerships, real estate investment trusts and structured products, as well as clearing disputes.

 

As a boutique law firm, we avoid many of the conflicts faced by larger law firms. This flexibility enables us to represent both large and small firms, along with claims in which one broker-dealer is adverse to another. Our founding partner is a former prosecutor and branch manager for several large brokerage firms, and formerly served as in-house counsel for three large NYSE-member broker-dealers. This in-the-trenches experience provides unique insight to our advocacy.