From investor complaints and FINRA enforcement proceedings to arbitration concerning the underwriting of municipal bonds, Bell Nunnally helps those operating in the broker/dealer and securities markets navigate an increasingly complex regulatory environment.
When broker/dealer firms and various investment vehicles find themselves facing investor and counter-party claims, Bell Nunnally has the depth of experience and industry expertise to deliver successful outcomes for our clients. Because we understand that registered representatives and their brokerage firms aren’t always aligned when claims are brought, our team also represents individual investment representatives and financial advisors.
Our work preserving the rights of individual and corporate investors includes transactional and litigation matters in state and federal courts, as well as high stakes American Arbitration Association (AAA) and Financial Industry Regulatory Authority (FINRA) arbitrations across the country. The team regularly prosecutes and defends against various types of investor complaints in FINRA arbitration proceedings, including allegations of misrepresentation, suitability, churning and selling away. We have represented registered investment advisors (RIAs) facing enforcement proceedings before FINRA and the Securities and Exchange Commission (SEC), regularly obtaining the dismissal of such enforcement actions or significant reductions in the penalties sought. We also have defended both hedge funds and individual representatives against tortious interference claims and breach of fiduciary duty and fraud claims.
Who we represent
- National broker/dealers
- Individual investors
- Registered Investment Advisors
- Hedge funds
- Companies offering securities in the oil and gas industry
- Individual consultants
- Telecommunications providers