We represent both plaintiffs and defendants in litigation involving investments, investment decisions, and the securities industry. Our attorneys have represented investors in arbitrations against brokers and FINRA-registered firms, shareholders of closely-held corporations, officers and directors of public companies in litigation filed against them, financial advisors in disputes against customers or against their former firms, and firms in customer arbitrations. We believe that, as a premier boutique financial services firm with few conflicts, our ability to represent clients on different sides of various issues provides us with superior insights into the various strategies and techniques that can work in this specialized area.
In our experience, most financial advisors are honest people who serve their clients well. However, sometimes they make mistakes that can end up costing their customers significant financial losses. And some of them act illegally or unethically and betray the trust placed in them by their customers. If you are an investor who believes that your financial advisor has done something inappropriate with your accounts, you should seek a professional evaluation of the situation. We have assisted investors in recovering their money in a multitude of scenarios.
In addition to customers matters, we also assist investors who have been subjected to a minority shareholder squeeze-out, breaches of fiduciary duty by directors of corporations, and other scenarios where investors have had to arbitrate or litigate to recover their losses due to the unscrupulous acts of interested parties.
Securities professionals sometimes find themselves in situations where they have been wrongly accused, either by customers who hold them responsible for market reversals, or by firms who have decided to jettison them and seek to make it difficult for them to be employed in the industry. Sometimes this requires arbitration to resolve and sometimes we are able to address the matter through mediation and compromise. In either event, we encourage you to reach out and seek assistance in what may be a career-determining moment.
Sometimes individual FAs are caught up in enforcement investigations by the SEC or FINRA. Our deep bench of experienced, former SEC attorneys have dealt with all manner of investigations in the securities industry and can advise and guide you through to the best possible outcome based on the facts of your case.
Broker-Dealers & Registered Investment Advisors
As a firm in a highly regulated industry, a broker-dealer or RIA faces complex issues that can arise in the course of an SEC or FINRA examination or investigation, as a result of customer arbitration claims, or in addressing new regulatory requirements at the federal or state level. We frequently interface with regulators and draw on our deep bench of former SEC enforcement and trial attorneys to address questions and navigate investigations that arise from time to time, whether undertaken by the SEC or FINRA. We also represent firms and financial advisors in FINRA arbitrations brought by customers. We have a significant track record of success in these matters.