Securities Litigation

We have extensive experience in securities litigation and arbitration before the National Association of Securities Dealers (NASD), as well as in private and NASD-sponsored mediation of such disputes. We have successfully represented brokerage firms in a full range of customer disputes – including claims of unsuitability, unauthorized trading, churning, breach of fiduciary duty, negligence, fraud and negligent hiring, training and supervision – and we have represented both brokerage firms and individual brokers in industry disputes over raiding claims and the enforceability of restrictive covenants. We have also successfully represented clients in court litigation ancillary to arbitrations, such as motions to compel arbitration and to stay court proceedings pending arbitration and petitions to confirm arbitration awards.

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