Broker-Dealer and Financial Products

Our Broker–Dealer and Financial Products Practice serves the unique needs of the highly complex financial services industry. We regularly represent national, regional and local brokerage firms, representatives and investment advisors, as well as public and private institutions, in securities litigation and arbitration throughout the country. We also represent such clients in regulatory and compliance matters with the SEC, NYSE, FINRA and state regulatory agencies. In addition, we regularly provide counsel and litigation support for recruiting, transition and employment matters.

 

As one of the largest practices of its kind in the country, we have the experience and depth to handle matters of critical importance to participants in the financial services industry, especially those matters involving a significant number of claims.

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