Securities Litigation

  • Representation and defense of registered representatives, investment advisors (RIAs), financial planners, insurance agents, corporate directors and officers
  • FINRA Arbitration and General Litigation Proceedings
  • Trading Disputes (e.g., unauthorized trading, suitability)
  • Employment Issues (e.g., wrongful termination, fee disputes)
  • Intra-Industry Disputes (e.g., between representatives, advisors)