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
- Securities Arbitration, Regulatory & Transition Advice & Counsel
- Estate Planning, Fiduciary & Estate Administration
- Elder Law & Special Needs Planning
- Civil Litigation
- Small Business & Corporate Counsel
Contact
Questions? Contact us:
804.417.6085
Testimonials
“Throughout this proceeding, counsel, including Andrew Park … engaged in vigorous and detailed examination and cross-examination of witnesses with professionalism and courtesy. Their conduct was admirable.” ~ FINRA Arbitration Panel
“Andrew – I want to thank you for all your hard work as apparent in the FINRA case. Your attention to detail, knowledge of material were evident, as was all the time put into my case. I also thank you for your compassion and professional manner in which you treated myself and everyone involved in the case. You are a great lawyer! I appreciate all your help.”
“Andrew Park was nothing short of an angel in handling a very difficult situation for me. His professionalism and expertise were beyond compare. But even better, he was kind, compassionate, and committed to helping me reach the best possible outcome. I am forever grateful to him and the firm.” ~ AH
“Andrew Park was nothing short of an angel in handling a very difficult situation for me. His professionalism and expertise were beyond compare. But even better, he was kind, compassionate, and committed to helping me reach the best possible outcome. I am forever grateful to him and the firm.” ~ AH
“Very happy with the services here and the personal touch. Never feel pressured during our conversations. Highly recommended.” ~ RS