Securities Arbitration

In the complex securities industry, our clients rely on our thorough knowledge of the law and staunch advocacy in handling a broad range of matters. 

We represents broker-dealers and associated persons in defending enforcement actions brought by the Securities & Exchange Commission (SEC), the Commodity Futures Trade Commission (CFTC), the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the New Jersey Bureau of Securities and other state agencies. We also defend clients in federal and state grand jury investigations involving securities fraud and other possible violations of criminal law. In addition, we often are retained to conduct internal investigations into broker-dealers and publicly traded corporations.

Our lawyers are experienced in all facets of securities arbitration and litigation matters. We have represented broker-dealers and associated persons in both arbitration and civil litigation in New Jersey and New York courts and before the NASD and NYSE. We also represent broker-dealers, individuals, investment advisors and hedge funds in disputes arising from trading and underwriting activities.