Financial Services Litigation

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The relationship between investors and their brokerages has always been fragile, but the stock market's "new normal" creates a business environment in which complaints and filings are commonplace and complex. Lindquist & Vennum's leading financial services litigation practice represents brokerage firms, brokers and customers in a wide variety of investment and securities-related issues. We also routinely counsel firms in regulatory compliance and represent them in administrative and regulatory matters, including investigations conducted by governmental and self-regulatory organizations. The forum for resolving claims includes litigation, arbitration before FINRA and other panels, regulatory proceedings, and mediation. 

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