Types of Claims

Our team has over 35 years of securities arbitration and investment litigation experience. We have (at one time or another) represented most major broker dealers on Wall Street and we've gained a wealth of experience over the years. Along with being former licensed industry professionals that have worked inside of several Wall Street firms, this uniquely positions us to be stronger advocates and litigators for our clients. Our experience includes handling diverse matters involving:

  • Broker-dealers,
  • Financial Professionals, including brokers, financial planners, advisors
  • Registered Investment Advisors (firms and individuals)
  • Public customers including, individuals, trusts, pension funds, corporations and partnerships.

We strive to partner with our clients and resolve their securities and investment through cost-effective resolutions to their litigation or regulatory disputes that may arise.

These matters typically involve securities arbitration or investment litigation through

  • FINRA (Financial Industry Regulatory Authority) arbitration,
  • AAA (American Arbitration Association) arbitration,
  • state or federal courts,
  • SEC (Securities Exchange Commission) investigations or proceedings, and/or
  • Florida Office of Financial Regulation (Florida OFR).

Weekly Report

Weekly Report – 8/11/17

1 – On Wednesday, August 9, 2017, the Department of Labor (DOL) sought an 18 month delay for implementing the final part of its fiduciary.  Many observe that this delay is certainly beneficial to the industry stake holders at the expense of individual investors. The rule actually went into effect on June 9, 2017, but…

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