In addition to investors, we represent brokers and financial professionals who have been wronged by their employers. These professionals work hard to build their reputations and books of business. Financial firms can take that away in an instant in pursuit of their own monetary goals, often causing substantial financial, emotional, and reputational harm to the broker. The effects of these actions by financial firms can be devastating. We can bring claims against the firm to recover the broker’s losses and defend against any promissory note collection claims brought by the firm. We can stand by you when your firm will not.

If you have lost money on an investment or in a securities, retirement, or trust account, or if your financial advisory business has been harmed by the firm you were registered with, our securities mismanagement attorneys can pursue full recovery plus interest. We also represent our clients in proceedings to challenge, undo, or confirm arbitration awards. No matter what type of dispute you have, we are committed to being skilled advocates for your case.

Our securities fraud attorneys litigate securities claims both in court and before arbitration panels. Whether in court or arbitration, we have helped investors and brokers recover millions in damages. But there are substantial differences between court and arbitration which you may not have been advised about. Our experience in both court and arbitration also allows us to evaluate which options are available to you and help you determine the best strategy for your case.