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Financial Services

We represent individuals and entities including broker-dealers, investment advisors, advisory firms, and more in proceedings before the Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), Commodity Futures Trading Commission (“CFTC”), and other state and federal regulatory agencies, as well as in arbitration and litigation. We also work with investors to recover funds that have been mishandled by their financial advisors.


Experience and empathy

Attorneys on our team have worked for governmental and regulatory organizations like the SEC and FINRA. We know how agencies and regulatory authorities build their cases and we efficiently and effectively pursue solutions.

With several attorneys who have been investigators and in leadership positions with the SEC, we also assist regulated entities and associated individuals with securities enforcement before the SEC, FINRA, and state agencies.

In addition to regulatory issues, we represent financial advisors facing consumer complaints for fraud, breach of fiduciary duty, and other issues. We work with investors seeking to recover mishandled funds. We also defend clients in securities class action suits. Our work on both sides of many issues gives us an objective outlook and the ability to identify and address vulnerabilities in our cases.

We also represent financial advisors in transition who are involved in employment issues, matters involving public disclosures, contract disputes, and more. Our work helps them pave the way to smooth transitions to the next phase in their careers.
Often, the financial advisors and investors we represent have not been involved in litigation before. While we are strong and aggressive advocates, we also understand the stress our clients are under. With the track records and expertise of our attorneys, we inspire confidence and walk with clients step-by-step through the entire process. This is why former clients often refer colleagues to us.

Who We’ve Helped

Financial advisors

Lead counsel in contentious arbitration involving a business dispute between two financial advisors, resulting in award of more than $2 million in compensatory damages and attorneys’ fees for our client.

Expungement disputes

Succeeded in challenging FINRA’s motion to vacate an award for expungement in favor of a financial advisor in a non-customer related case.


Represented firm for 25 years in FINRA customer related arbitrations and SEC, FINRA, and state regulatory matters.

How We Can Help You

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