Our team regularly represents broker/dealers, trading firms, investment advisory firms, registered representatives and investors in arbitration and mediation before the National Association of Securities Dealers and the New York Stock Exchange.

AIG Panel Counsel for broker/dealers.

Our attorneys have substantial experience litigating disputes involving claims of churning, fraud, unauthorized trading, market manipulation, failed supervision and margin maintenance and account liquidation.

Our attorneys have substantial litigation experience with most retail products, including, stocks, warrants, listed and OTC options, nonqualified and incentive employee stock options, derivative instruments, high yield and investment-grade bonds, mutual funds, limited partnerships, commodities and futures, and alternative investments.

Our attorneys also have substantial litigation experience with employment disputes relating to the securities industry, including claims regarding Form U5 defamation, non-compete agreements, non-solicitation agreements, forgivable loans, promissory notes, raiding, TROs and other injunctive relief, discrimination, retaliation, whistle-blowing, and breach of employment agreements.

Contact Robert L. Herskovits, Esq., David A. Gehn, Esq. or Contact Us online.

Our related practice disciplines include regulatory and enforcement, broker/dealer advisory services, commercial and employment litigation, corporate and securities, and white-collar criminal defense.

Contact us online or call us today at 212.269.1400.