FINRA Litigation

Our Financial Industry Regulatory Authority (“FINRA”) attorneys represent and defend broker-dealers, registered representatives, and other financial professionals locally and nationwide in litigation involving securities and consumer fraud litigation, punitive damage claims, alleged violations of state and federal securities laws, common law actions, and alleged violations of FINRA rules. Our attorneys have favorably arbitrated matters before FINRA and have successfully handled expungement proceedings in federal court. We have also assisted clients in defending investigations initiated by FINRA and various state securities commissioners, and in initiating FINRA proceedings on behalf of business claimants against former partners and professionals. Our FINRA attorneys are well-versed in related legal areas, such as professional malpractice, insurance coverage, securities, and administrative law, which enables us to provide comprehensive and coordinated professional liability counseling to our clients.