Securities Broker/Dealer Liability

We have represented broker-dealers and registered representatives in the defense of a variety of securities-related claims, including those alleging unsuitable investment recommendations, improper sales practices, negligent supervision, blue sky violations, churning, breach of fiduciary duty and breach of contract. Our attorneys have represented these parties in numerous arbitrations before the National Association of Securities Dealers, now known as the Financial Industry Regulatory Authority (FINRA).