Finance and Securities Law

We defend broker-dealers, investment advisers, and other financial professionals in FINRA arbitrations, state court actions, regarding alleged violations of the Securities Act of 1933, the Securities Exchange Act of 1934 as well as other state and federal laws, rules and regulations. Such matters include allegations of securities fraud, unsuitability of investments, improper or unauthorized trading, breach of fiduciary duty, failure to supervise and other issues relating to improper trading. We also proactively advise financial advisors and broker dealers to avoid risk of litigation.