Broker-Dealers / Investment Advisers

We represent a diverse group of financial market participants, including broker-dealers, investment advisers, and their employees. A substantial portion of the firm’s practice is devoted to litigation and arbitration of claims related to the securities industry, and to securities industry regulatory matters involving the U.S. Securities and Exchange Commission, FINRA, other self regulatory organizations and state securities regulators. The firm represents broker-dealers in defending and asserting claims related to customer accounts, and represents individuals, broker-dealers and investment advisers in connection with dispute resolution and a wide variety of regulatory matters.