The firm has successfully litigated securities actions in New York State and federal courts and in NASD arbitrations involving issues of appropriate disclosure, classification of securities, claims of fraud and the conduct of brokers and registered representatives. We have defended brokerage firms and registered representatives in state and federal court, and in mediations and arbitrations locally and in New York City before the NASD, NYSE and other self-regulatory organizations (SROs). In this role, we value and work with company legal and regulatory counsel in reviewing, defending and resolving claims. We have also acted as direct local counsel to an investment brokerage firm for their branch specific litigation, business and employment matters.
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