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

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