Practice Areas

Securities Arbitration

        We regularly represent clients in securities arbitration and litigation, including disputes between securities firms, disputes between securities firms and their customers, disputes between securities firms and their employees, and disputes among owners of securities firms.

        We are experienced at handling arbitrations at FINRA (f/k/a the NASD and New York Stock Exchange) and handling private securities and commodities litigation in federal court.  Typical cases include wrongful conduct such as unsuitable investments, unauthorized transactions, churning, misrepresentations and omissions concerning investments, stock manipulation, margin violations, improper trade execution, securities trading and settlement disputes, employment termination and compensation, violations of restrictive employment covenants, regulatory disclosure, and antitrust violations.