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Broker/Dealer and Securities

We have extensive expertise in representing broker/dealer firms and various investment vehicles against investor and counter-party claims.  Because registered representatives and their brokerage firms aren’t always aligned, we have also represented individual investment representatives and financial advisors in claims brought by or against broker-dealers and investors.  Lastly, we preserve investors’ rights by representing individual and corporate investors in claims by or against registered representatives and brokerage firms.  Our work on behalf of these clients has included transactional and litigation matters, and our work has taken us to state and federal courts all over the country, and into high stakes AAA and FINRA arbitrations.

Representative Matters
  • Represented national broker-dealers in numerous FINRA arbitration proceedings defending against various types of investor complaints, including allegations of misrepresentation, suitability, churning, and selling away. 
  • Represented a national broker-dealer in several FINRA arbitration proceedings prosecuting breach of contract claims based on the representative’s failure to repay advances and forgivable loans, including defending the representative’s counterclaims of fraudulent inducement.
  • Represented individual investor against multi-national broker-dealer in defending allegations of securities fraud, unsuitability, breach of fiduciary duty, and breach of contract based on representative’s fraudulent inducement to purchase interest in apparent ponzi scheme.
  • Represented individual investor in FINRA claim against a major broker-dealer arising out of representative’s failure to develop and execute proper investment plan and broker-dealer’s improper “freezing” of the investor’s account.
  • Represented a bank in a FINRA injunctive proceeding involving theft of trade secrets and breach of non-compete covenants to protect a multi-million dollar book of business that two representatives tried to move to a direct competitor of the bank.
  • Represented broker-dealer in a federal court appeal seeking to vacate a $440,000 FINRA arbitration award against the broker-dealer based on the arbitration panel’s manifest disregard of the law.
  • Represented registered representative in FINRA arbitration prosecuting claims against national broker-dealer and representative’s former partner for breach of employment agreement and conspiracy to tortiously interfere with business relationships.
  • Represented numerous hedge funds in defense of tortious interference claims based on alleged acquisition of debtor’s senior secured debt and hedge funds’ subsequent non-consent to proposed sale transaction to the claimant.
  • Represented several hedge funds and individual representatives in defense of investors’ breach of fiduciary duty and fraud claims arising out of compulsory redemption of investments and wind-up of the funds.
  • Represented oil and gas exploration companies in numerous civil and administrative proceedings defending against allegations of the sale of unregistered securities, the sale of securities by unregistered agents, and securities fraud.
  • Represented an individual consultant against a multi-national corporation based on the company’s breach of the consulting agreement which provided for the issuance to the consultant of a portion of the shares resulting from a PIPE transaction.
  • Represented a major telecommunications provider in defense of shareholder derivative litigation alleging corporate waste based on executive compensation agreements.