Financial Services Litigation &
Regulatory Matters

Financial Services Litigation &
Regulatory Matters

We represent broker-dealers, RIAs and individual financial advisors in customer disputes, product failures and regulatory matters. We have developed particular expertise representing securities firms and individual financial advisors in retail and institutional customer disputes before FINRA and the American Arbitration Association. We have represented broker-dealers, RIAs and financial advisors in litigations and arbitrations throughout the country concerning alleged sales practices violations. We routinely appear before federal and state regulatory agencies and the national self-regulatory organizations in compliance and disciplinary matters, on behalf of both individuals and member firms. We have selectively represented institutional and other substantial investors regarding financial product failures.