Securities and investment advisory services are highly regulated and require a specific approach to industry and customer disputes.
Our litigators have experience representing brokers, broker-dealers, financial advisors, investors and customers in FINRA arbitration, federal and state court litigation, FINRA investigations, state securities investigations and SEC investigations. Our representative experiences include:
- Defending financial advisors in their transition from one broker-dealer to another, including attempted enforcement of non-compete agreements.
- Representing broker-dealers in order to protect their investment in their clients, including pursuing and securing injunctions in non-solicitation and trade secret enforcement.
- Application of the Broker Protocol to a transitioning broker.
- Defending industry professionals against former customers bringing claims of churning, improper investments and general mishandling of assets.
- Representing customers when an industry professional has not acted appropriately in providing investment advisory or brokerage services.
- Collection of promissory notes
- FINRA Investigations
- FINRA Industry Arbitrations
- FINRA Customer Arbitrations
- State securities investigations
- SEC investigations