Our broker-dealer team has extensive experience defending some of the world's largest broker-dealers in federal and state courts across the country and before the Financial Industry Regulatory Authority (FINRA).
Having tried dozens of cases to verdict over the last five years, our broker-dealer team has honed and refined the specific skill set it takes to try these cases efficiently and effectively.
Our broker-dealer team has handled litigation and arbitrations covering a wide variety of products, strategies and claims, including:
|Products and strategies||Types of claims|
|Auction rate securities||Suitability|
|Mortgage backed securities||Churning|
|Collaring strategies||Unauthorized trading|
|Deep out of the money options||Breach of fiduciary duty|
|Fixed and variable annuities||Fraud and misrepresentation|
|Stocks, bonds, mutual funds, etc.||Failure to supervise|
Additionally, as a result of our vast experience in the broker-dealer industry, we are often asked to assist firms in conducting pre-litigation internal investigations related to suspicious activity.
We have also represented broker-dealers in regulatory investigations conducted by FINRA, the United States Securities Exchange Commission, and State regulatory authorities.