practice areas

Securities Arbitration, Regulatory & Transition Advice & Counsel

We regularly represent broker-dealers and investment advisors in customer arbitrations, employment-related arbitrations, and in regulatory matters. We also represent individual and corporate investors in pursuing sales practice claims in arbitration.The majority of these arbitrations are with FINRA (Financial Industry Regulatory Authority) and involve client sales practice claims or intra-industry employment disputes.

We have handled hundreds of such arbitrations. We have extensive experience taking arbitrations to hearing and navigating any post-award litigation needed. We have repeatedly worked through the finer details of the recurring issues and themes that these cases involve, so are well prepared for new and fast-developing complications.

We regularly represent wirehouse firms, bank channel broker-dealers, discount brokerage firms, independent broker-dealers, investment advisors, and clearing firms.

The know-how our firm gained as in-house arbitration counsel, as outside counsel for other major wealth management firms, and for investors, makes us well-suited to provide pragmatic, cost-effective service.

Practice Areas


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