Arbitration and Litigation
When a customer complaint, a regulator’s letter or a lawsuit arrives, the question is rarely only legal. It is what this does to the firm, the license and the business.
The practice
Securities disputes, in every forum they are heard.
The firm handles all aspects of corporate and securities arbitration and litigation — suitability and supervision claims, contract disputes, control person and respondeat superior liability, directors’ and officers’ liability, employment matters, and professional liability defense.
Most of this work is defense, and most of it is decided long before a hearing. Early assessment of exposure, an honest read of the documents, and a clear view of what the forum will actually do with the claim are worth more than any argument made eighteen months later. Where a matter should be resolved, it is resolved; where it should be tried, the firm tries it.
That judgment comes from having been on the other side of the desk. Before founding the firm, its counsel ran a FINRA member broker-dealer as chief executive and chief compliance officer, and served as general counsel to securities issuers. The supervisory systems these claims attack are systems he has written.
FINRA · AAA · JAMS · State and federal trial courts · Appellate courts · SEC and state administrative proceedings
Claims
What these matters are usually about.
The labels change; the underlying disputes do not. Most engagements involve one or more of the following.
Related
Where this practice goes next.
Alternative investments
Why these claims arise, and what the file has to show.
Expert witness services
Industry practice is a question of fact, and usually the one being decided.
Local counsel representation
California will not let out-of-state counsel appear in an arbitration alone.
Investigations and enforcement
A regulatory matter is not a lawsuit, and the exposure is the registration.
Investor and customer protection
The same claims, from the other side of the table.
Facing a claim, or bringing one?
The first conversation is about the facts and the forum, not the fee.
Contact the firm