Broker-Dealer Defense

Our firm has defended broker-dealers in hundreds of litigation and arbitration matters.  We represent large broker-dealers, individual brokers, and “apex” employees in matters ranging from suitability to federal securities claims.   We have handled such claims through multiple market cycles, from the dot com bubble through the adverse market conditions of 2007-2009.  We have significant knowledge of investment products, compliance issues, supervision, FINRA rules, and sponsors.   We also have handled broker-dealer claims nationally, and as a result, we know many of the firms and attorneys who file investor claims in FINRA, and have arbitrated claims against those firms.  In short, we know this area of law and are regularly contacted by national and regional broker-dealers to represent them in everything from routine small-dollar, single-investment cases, to multi-million dollar multi-party claims.  In recent years, we have represented firms in cases involving non-conventional investments, like REITs, TICs, mortgage loan pools, and hedge funds.  We have a network of well-qualified experts whom we call upon to provide us and our clients with early evaluation of both economic loss, and analysis of standard of care issues.  Our attorneys also regularly present risk seminars to clients concerning best practices to avoid litigation.