FINRA and Securities Litigation

Defend Your Company's Financial Well-Being

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.

Who We Represent

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. 

Examples of Litigation

With our group of experienced FINRA litigators, you will be protected against claims involving:

• Securities and consumer fraud
• Punitive damage claims
• Alleged violations of state and federal securities laws
• Common law actions
• Alleged violations of FINRA rules and other securities strictures

Professional Recognition

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.