Securities Litigation/FINRA Arbitration
The firm represents and advises investors, registered individuals, and financial institutions in litigation, FINRA arbitration, and regulatory (SEC/FINRA/Mass. Sec. Div.) matters. Specific areas of practice include:
- FINRA arbitration (both investor and industry disputes), as well as securities litigation (e.g., institutional investor suits).
- Non-compete, non-solicit, and confidential information matters involving Broker Protocol and non-Broker Protocol firms. Represent registered representatives, brokerage firms, and investment adviser firms.
- Defense of SEC and FINRA enforcement actions brought in federal court and internal administrative tribunals. Represent clients in initial investigation letter response, Wells process, and ultimately, if applicable, through trial or hearing.
- Complex securities litigation relating to hedge fund and private placement investments.