Securities Litigation

Our securities litigation group has extensive experience in the courts, in arbitration proceedings, in appeals, and in defending administrative agencies such as SEC Enforcement Proceedings. Generally, we handle matters on behalf of local, regional, and national brokerage firms, brokers, and accounting firms, defending against customer claims and disciplinary proceedings commenced by self-regulatory organizations. We also represent brokers and firms in disputes between them. Where there is no conflict of interest, we have also represented consumers in claims against brokers and brokerage firms where the conduct has been demonstrably inappropriate. The matters we have handled include allegations of churning, unsuitability, unauthorized trading, fraud, raiding, and failure to supervise. Our attorneys have also conducted seminars on securities arbitration, both for the state and local bar associations, and at in-house seminars for brokerage firms.