|
|
Securities Broker Arbitration
Our financial services attorneys defend securities brokers and firms in Financial Industry Regulatory Authority arbitrations against the claims of clients for alleged malfeasance.
Representative Experience
- Represented a brokerage and a broker against a claimant in Financial Industry Regulatory Authority arbitration.
- Defended a broker in an arbitration proceeding where the claimant alleged the broker had purchased unsuitable securities and failed to follow an order to sell.
- Defended a broker in a claim regarding the suitability of the sale of a private placement.
|