Securities Litigation

Our securities trial lawyers regularly defend registered investment advisors and broker dealers in suitability, trade secret, forgivable promissory notes and regulatory compliance cases before FINRA and other arbitral forums.  In addition, we represent our clients in matters before state and federal courts involving securities laws and regulations, both individually and in class action settings.

  • FINRA (Financial Industry Regulatory Authority)
  • State and Federal Court Securities Fraud and Statutory Violations Cases, both individual and class action cases
  • Suitability cases
  • Broker/Dealer/Advisor Compliance