Handling financial services disputes requires counsel with a significant understanding of the industry, the rules and regulations impacting our clients, and the forums in which disputes are adjudicated. Our attorneys leverage their industry-specific knowledge, developed from years of representing clients as outside counsel and through prior affiliations with some of the largest financial services firms in the world, to become experts in this field.
Our clients include broker-dealers, registered representatives, investment advisors, banks, hedge funds, insurance companies and individual investors. We regularly appear in state and federal courts, and collectively have appeared in hundreds of arbitration claims before FINRA, CBOE, CBOT, JAMS, AAA, and other self-regulatory organizations nationwide.
Our practice is a broad one, and our attorneys regularly handle a wide variety of claims arising out of applicable statutes, rules, regulations and industry practices, including:
- Customer claims relating to allegations of broker misconduct such as investment suitability, churning, fraud, misrepresentation, failure to supervise, unauthorized trading and breach of fiduciary duty
- Industry and employment claims such as breach of contract, raiding, non-compete and non-solicitation clauses, the Protocol for Broker Recruiting, Form U-4/U-5 defamation and slander, misrepresentation, wrongful termination, constructive discharge and discrimination
Please contact us for more information about our Financial Services Arbitration and Litigation practice.