When it comes to the future of your organization, there is nothing more important than its financial health. Our FINRA attorneys represent and defend your company and employees against claims filed with the Financial Industry Regulatory Authority, including securities-related investigations and inquiries.
Our FINRA legal team represents broker-dealers, registered-investment advisors, and individual financial services professionals in investigations, examinations, inquiries, and litigation involving client claims and arbitration. We assist financial professionals in expunging client complaints from their respective records, and assist broker-dealers in matters involving employees and ex-employees.
With our group of experienced FINRA litigators, you will be protected against claims involving:
Our FINRA practice group attorneys have frequently lectured on FINRA issues including the potential impact on the securities industry of new rules proposed by FINRA and the Securities and Exchange Commission.