Broker-Dealer Disputes

We are well-versed in both courtroom trials involving broker-­dealers and arbitrations before the Financial Industry Regulatory Authority (FINRA). We have represented brokers, broker-dealers, and investors on all sides of these matters. We are also experienced with claims regarding auction rate securities sales, unauthorized exercise of discretion, unsuitability, churning, supervisory issues, improper margin calls, unfair securities liquidations, and improper hedging.

Representative Cases

Here are some of the outcomes our lawyers have achieved for our clients:

  • Represented investors in suitability claims before FINRA regarding speculative investments not geared to the age, sophistication, and resources of the client.
  • Represented investors in claims against unlicensed brokers who have persuaded individuals to invest millions of dollars in questionable investments.
  • Advised investors of the rights and obligations their brokers owe them with regard to execution, best price, and other duties.

For our broker clients, some examples of results we have achieved include:

  • Represented brokers in disputes with investors over the suitability of investments.
  • Represented brokers in disputes with their employers involving the enforcement of employment agreements requiring loan repayments.
  • Represented brokers in disputes with clients regarding the sale of private, non ¬≠traded securities in both court and in FINRA.