The relationship between investors and their brokerages has always been fragile, but the current state of the stock market has created an unprecedented rash of complaints and filings.
We represent brokerage firms, brokers and customers in a wide variety of investment and securities-related issues. These matters have included prosecuting and defending the following types of claims:
- Securities fraud
- Employee Retirement Income Security Act (ERISA)
- Racketeer Influence and Corrupt Organizations Act (RICO)
- Unsuitable trading
- Unauthorized trading
- Churning of customers' accounts
- Market manipulation
- Employment issues
The forum for resolution of these claims includes litigation, arbitration before FINRA and other panels, regulatory proceedings, and mediation.
In addition to arbitration and litigation matters, we counsel clients in regulatory compliance and represent clients in administrative and regulatory matters, including investigations conducted by governmental and self-regulatory organizations.