Practice Areas

Broker-Dealer and Other Investment Professional Disputes

The firm commits a substantial part of its practice to litigating and arbitrating disputes involving broker-dealers, investment adviser firms and other securities entities and their registered professionals. We also serve as arbitrators, publish articles, give media presentations and act as panelists on topics affecting the securities industry. Our litigators are accustomed to trying complex, multi-party disputes before courts and arbitrators. Out-of-state attorneys frequently hire us to serve as local counsel in the localities where we maintain our offices. Our litigators have successfully prosecuted and defended nearly every type of recurring claim encountered in the daily lives of broker-dealers, investment advisers, hedge funds and related securities businesses of all sizes.

Among the types of securities industry matters we handle are:

  • Sales Practice Disputes

  • Fraud and deception
    Unauthorized trading
    Margin violations
    Failure to supervise
    Federal and state statutory violations
    Fiduciary duty breach
    Stock manipulation
    Order entry
    Account transfer errors
    Clearing firm issues
    Loss prevention
    Internal investigations
    Regulatory inquiries and hearings

  • Disputes Between Broker-Dealers

  • Raiding and other broker recruitment disputes
    Injunctive remedies
    Tortious interference disputes
    Unfair competition disputes
    Inter-firm trade disputes
    OSJ disputes

  • Disputes Between Broker-Dealers and Brokers

  • Motions to compel arbitration
    Ineligibility motions
    Confirmation and vacatur motions

  • Procedural Issues

  • Director and officer statutory and common law liability claims
    Purchase price adjustment claims
    Warranty and similar contract claims