Investor Protection

When you need a Securities lawyer who is knowledgeable in the area of broker-customer disputes, you should schedule a free telephone consultation. After listening to the facts of your case, we can usually tell whether you have a good claim or defense. We can provide the legal advice and representation you need.

Throughout our years of practice, our firm has developed innovative strategies to hold defendants accountable for misrepresenting important information to investors and to obtain favorable rulings for our clients.  We have a track record of maximizing recoveries for clients and of being prepared to go the distance, including taking cases to trial.


Financial Representative Defense

Our firm represents financial professionals in FINRA Arbitration, FINRA Inquiries and Investigations, Registration and Disclosure matters and employment disputes. The firm focuses on: (1) defending against investor claims in FINRA Arbitration; (2) defending FINRA inquiries (FINRA Rule 8210 letters), investigations and disciplinary actions; (3) litigating employment disputes with broker-dealers and advisory firms over terminations, promissory notes, compensation and defamation (Form U5); (4) advising on registration, including Form U4 disclosures (criminal charges, customer complaints, liens, outside business activities), expungement of CRD and Broker Check information, and eligibility proceedings for statutorily disqualified individuals.

Free Consultation...

Please give us a call to have an open and honest evaluation of the merits of your case.