If you are a broker, investment advisor or other securities industry professional, or if you are an investor in the securities market, we are available to represent you or your firm in any potential dispute, or ongoing litigation or arbitration.

Our twenty-five-plus years of collective securities experience runs the gamut from defending individuals and large corporations in private securities lawsuits and arbitrations to investigating multi-million dollar Ponzi schemes for the U.S. Securities and Exchange Commission. We have handled numerous types of financial fraud cases, including affinity frauds by investment advisors, insider trading, and sophisticated market manipulation schemes. We have also litigated claims of churning, breach of fiduciary duty, false or misleading disclosures, and registration violations. Our clients have included investors, brokers, investment advisors, and investment and commercial banks in numerous private matters, as well as investigations and disciplinary proceedings by regulatory entities, including: the Department of Justice, the SEC, the NASD and the New York Stock Exchange (and their successor, FINRA), and state agencies.

Please call or email us if you have a securities-related matter.