Practice Areas

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
Unsuitability
Unauthorized trading
Churning
Margin violations
Failure to supervise
Federal and state statutory violations
Fiduciary duty breach
Negligence
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