Securities Arbitration & Litigation
Retail clients, institutional clients, registered persons, and member firms are all generally required to arbitrate their disputes, primarily before the Financial Industry Regulatory Authority, or FINRA in its arbitration forum. The requirement to arbitrate applies to intra-industry and employment disputes for the most part.
We represent parties in securities claims involving a myriad of issues including common law, state and federal statutory securities claims, and other causes of action involving financial institutions, investment firms, broker-dealers, investment advisers, and registered representatives arising from a myriad of investment products and market conditions. These claims often include issues related to broker-dealer duties to customers and counterparties.