PRACTICE AREAS
Securities Arbitration and Litigation
Our firm has extensive experience representing broker-dealers and their associated persons, Registered Investment Advisors, financial services industry professionals, and individuals in a vast array of securities arbitrations before the NASD n/k/a the Financial Industry Regulatory Authority (FINRA), NYSE, and other regulatory bodies and forums.
The Firm has litigated, arbitrated, and mediated numerous cases on behalf of a diverse group of financial institutions and individuals involving claims of fraud, churning, suitability, breach of contract, breach of fiduciary duty, negligence, negligent supervision, overconcentration, churning, market manipulation, order failures, Regulation T violations, unauthorized trading, wrongful termination, defamation, breach of non-compete and non-solicitation covenants, tortious interference, unpaid wage claims, breach of promissory notes, partnership dissolution/disputes, and negotiations involving upfront loans, Form U-5 language, and terms of new employment.
The Firm also has vast experience in both pre-arbitration and post-arbitration proceedings in state and federal courts. That experience includes, but is not limited to, the enforcement of arbitration agreements, injunctions, and the confirmation, modification and vacation of arbitration awards. The Firm also has extensive experience litigating the eligibility and statute of limitations relating to claims with various self regulatory organizations, as well as compelling the enforcement of arbitration agreements.
Commercial Litigation and Employment Law
The Firm represents securities industry personnel and broker-dealers in all aspects of employment litigation and arbitration claims. The Firm handles securities industry disputes such as promissory notes, U5 expungement and wrongful termination, whether in state or federal court, arbitration, and/or mediation, or in response to regulatory actions. A sample of the issues we can assist you with includes:
- Promissory notes
- U-5 Expungement
- Commissions, bonuses or other compensation issues
- Gender discrimination
- Racial discrimination
- Sexual discrimination
- Unequal treatment
- Defamation, including U-5 libel
- Unlawful retaliation
- Tortious interference
- Contract claims
- Wrongful termination
- Compensation Agreements
- Non-compete Agreements
- Non-solicitation Agreements
- Draw agreements/deficits
- Partnership disputes
- Partnership agreements
- Partnership dissolution
The Firm also has vast experience in both pre-arbitration and post-arbitration proceedings in state and federal courts. That experience includes, but is not limited to, the enforcement of arbitration agreements, injunctions, and the confirmation, modification and vacation of arbitration awards. The Firm also has extensive experience litigating the eligibility and statute of limitations relating to claims with various self regulatory organizations, as well as compelling the enforcement of arbitration agreements. Additionally, the Firm has been involved in numerous cases involving collections as a judgment creditor and the rights of judgment debtors under Florida and federal law.