Investment decisions do not always bring about the intended result. When that happens, investors often look to hold their broker or securities firm responsible. In those cases our firm represents brokerage firms, registered representatives, attorneys, accountants, companies, officers, directors and issuers in defending claims arising under the securities laws, including class actions and derivative suits.

Our securities practice also involves arbitrations against, and the defense of, brokerage firms and registered representatives before the New York Stock Exchange and the National Association of Securities Dealers. These arbitrations have included allegations of churning, selling away, fraud, breach of fiduciary duty, suitability, breach of contract, negligence, civil theft, conversion, and other violations of state and federal securities laws. We also represent brokerage firms and their employees, securities issuers and their managements and directors, and accountants in SEC, NYSE and NASD investigations, as well as brokers in federal criminal prosecutions. The firm is not, however, involved in private offerings or public registrations of securities.