Securities Litigation and Arbitration

Securities Litigation

and Arbitration

Securities litigation and arbitration represents a complex and pivotal facet of the legal landscape, intricately woven into the world of finance and investment. It arises from disputes, allegations, and legal actions related to the buying, selling, or trading of securities, such as stocks, bonds, and derivatives. At its core, securities litigation and arbitration seeks to enforce and protect the rights and interests of investors and market participants, while also ensuring the integrity and transparency of financial markets.

We have assisted hundreds of investors in recovering investment losses. Our securities litigation and arbitration attorneys understand that the funds invested have been earned through hard work, and set aside for specific objectives such as saving for retirement, financial security, elderly care, children’s education, or for taking care of others. On occasions, however, such objectives are not achieved because of the reckless and negligent actions of financial advisors and brokerage firms. When this occurs, you can count on our attorneys’ extensive experience to recover your hard-earned funds.

We represent investors both in arbitration and court, including complex appellate proceedings, in a wide array of matters involving brokerage misconduct, such as, but not limited to:

  • Breach of Fiduciary Duty
  • Concentration and Failure to Diversify
  • Class Actions
  • Excessive Use of Margin
  • Failure to Supervise
  • Fraud and Deceptive Practices
  • Misrepresentations and Omissions
  • Misappropriations
  • Negligence
  • Ponzi Schemes
  • Selling Away
  • Unauthorized Trading
  • Unsuitable Investments and Strategies
  • Violation of Federal and State Laws and Regulations