Securities Investigations, Arbitrations, and Litigations
We have extensive knowledge of the regulatory and investigatory landscape of the securities industry. We represent individuals, corporations, brokers, and broker/dealers in connection with SEC and FINRA regulatory investigations, enforcement actions and litigations, including subpoena compliance, OTR or “on the record” interviews, responding to Wells Notices, and defending actions before the SEC and federal courts throughout the country.
We also represent brokers, broker dealers, and investors in connection with securities arbitration claims. These claims often involve employment disputes between brokers and their employers or allegations by investors of unsuitable investments, churning of accounts for excessive commissions, excessive margin use, unauthorized trading, and false statements leading to investments. We are familiar with the unique arbitration rules and procedures that apply to investment and employment disputes and are equally experienced in defending brokers against employer or investor claims and prosecuting cases on behalf of investors.