FINRA Litigation

The FINRA Litigation Practice is an emerging and integral part of the Firm’s core legal practice. The practice specializes generally in the representation and defense of all manner of professionals, entities, and individuals, and the representation and defense of broker-dealers, registered representatives, and other financial professionals nationwide in actions initiated by former and current clients, as well as other entities and individuals specifically. In this practice, our lawyers have compiled an impressive list of litigation successes in numerous matters before the FINRA. They have also assisted clients in the defense of SEC investigations. With regard to FINRA litigation, the practice concentrates in the defense of broker-dealers and other financial professionals before the FINRA in litigation involving securities and consumer fraud litigation, punitive damage litigation, violations of state and federal securities laws, common law claims, and violations of FINRA Rules. The lawyers in the FINRA Litigation Practice have extensive knowledge of professional malpractice and liability issues, insurance coverage, securities, and administrative actions, thereby allowing the practice to provide legal counseling in every facet of professional liability. Indeed, several of the lawyers in the practice have written extensively about professional liability issues, including articles about legal and professional malpractice, the impact of certain FINRA Rules on registered representatives, ethical issues, and matters of statutory concerns that have appeared in a number of leading law reviews and law journals.

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