The majority of securities disputes between investors and brokerage firms are resolved in arbitration before the National Association of Securities Dealers (FINRA) or the New York Stock Exchange (NYSE). The principal attorneys of this firm have represented hundreds of investors, industry professionals and brokerage firms in arbitration and mediation. Our success is attributable to hard work, client dedication and an in-depth knowledge of the securities industry. Please visit our Representative Cases page for examples of the arbitration matters we have handled for our clients.
In addition to resolution through arbitration and mediation, our firm has litigated a wide range of securities disputes including: churning, fraud, unauthorized trading, unsuitable trading, market manipulation, SIPC liquidations, margin violations, options abuse, mutual fund share class violations, failure to supervise and abuse of discretion. Many of these issues are highly complex, and it is important to hire an attorney with experience and knowledge of the securities industry to ensure that each aspect of your case is fully developed. Since both partners were formerly in-house lawyers for New York Stock Exchange member brokerage firms, they bring an insider's perspective to each litigation.
Our firm has handled litigation involving most retail products, including stocks, warrants, listed options, OTC options, derivative instruments, nonqualified or incentive employee stock options, corporate and high yield bonds, annuities, hedge funds and mutual funds.
We would appreciate the opportunity to put our knowledge and skill to work for you in your churning, fraud, suitability, market manipulation, or other securities litigation or arbitration matter. If you have any further questions, or if you would like to speak with one of our attorneys regarding your securities or commodities litigation or arbitration issue, please do not hesitate to call our Manhattan office at 917-639-5370 or toll-free at 877-388-6461. If you prefer, you may e-mail us, or fill out the form on the Contact Us page of this website and a representative from the firm will be in touch with you shortly. We look forward to hearing from you.
