Practice Areas
Financial Services Litigation
We represent and defend financial advisors, RIAs, broker/dealers and investment professionals in claims involving:
- Sales practice violations including allegations of unsuitability, misrepresentation/omissions, unauthorized trading, fraud, lack of due diligence, failure to supervise, negligence, breach of contract and breach of fiduciary duty.
- Violations of the federal securities laws including the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Advisors Act of 1940, state securities laws and state elder abuse laws.
- Wrongful discharge, defamation, violations of restrictive covenants, misappropriation of trade secrets, violations of non-competition and non-solicitation agreements, fraud and other business torts.
- Form U4/U5 matters and expungement requests from records with the Central Registration Depository (“CRD”).
- Collection disputes involving promissory notes, forgivable loans, commissions, retention bonuses and recruiting issues.
Regulatory Defense
We represent firms and individuals in formal and informal inquires, investigations and enforcement actions brought by the SEC, FINRA, and state regulators:Dispute Resolution
The reality is that most securities industry disputes are resolved through alternative dispute resolution strategies, including mediation or direct negotiations. The advantages of mediation include efficiency, affordability, flexibility and confidentiality. The process is less adversarial and the parties have greater control over the outcome of their dispute.Counseling
We recognize that the most valuable advice we can provide is often that which prevents problems before they arise. To that end, we provide counseling and advice on a range of business and compliance issues:Business Litigation
We prosecute and defend claims involving: