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Broker Dealer Disputes

We represent broker-dealers in every phase of their business, and we have been doing it since our inception. From major litigation to FINRA arbitrations, we have extensive experience representing broker-dealers and their officers and employees in capital markets, customer, and employee disputes, as well as ERISA litigation. Since the 1980s we have been actively engaged as counsel in arbitrations and litigating arbitration agreements and awards for a wide range of national and regional broker dealers. We have a broad range of experience assisting clients with broker-dealer regulatory matters, including investigations and regulatory proceedings brought by the SEC and FINRA. Our experience representing clients in complex litigation is particularly valuable to our investment firm clients simultaneously facing customer litigation and regulatory investigations, or with regulatory investigations involving multiple parties and complex issues. Whether defeating a multi-billion dollar case alleging RICO claims in New Jersey or obtaining expungements for our clients in an auction rate security FINRA arbitration, our lawyers understand the industry and know what is needed to obtain the right result.

Practicing Attorneys

  • imgLance Currie
  • imgAlex More
  • imgRichard A. Rohan
  • imgSven Stricker