Securities Compliance & Defense

We represent a number of select national, regional and local securities broker-dealers and brokers in disputes with customers, with other broker-dealers, and before regulators.

For example, we have represented a national broker-dealer in defending contract and intentional interference claims by a broker who was seeking $18 million in damages.  The ultimate award against our client was less than $50,000.

In another case, we obtained a favorable settlement at minimal cost to our broker-dealer client in defending securities fraud claims by investors who were seeking in excess of $20 million.