Securities-Industry-Disputes

Securities Industry Disputes and Investigations

Disputes between stockbrokers and broker/dealers or disputes between two or more broker/dealers that may require (mostly in cases of wrongful solicitation of customers) immediate injunctive relief in court with the bulk of the dispute handled through FINRA arbitration. Such disputes include stockbroker promissory notes, stockbroker commissions, broker/branch raiding and violations of employment agreements by stockbrokers, including removal of customer lists and wrongful solicitation of customers.

This also includes stockbroker inquiries and investigations brought by FINRA, the SEC and/or state securities regulators.

Our firm has obtained many court issued injunctions against stockbrokers and has recovered several substantial settlements for our broker/dealer clients in securities industry disputes.  We have also favorably resolved several inquiries and investigations against stockbrokers brought by FINRA and state securities regulators.

 

Investor/Customer Losses

Providing services to recover monetary losses a stock brokerage customer suffers because the stockbroker and broker/dealer sold the customer an investment that was unsuitable, poor quality or fraudulent. A customer can also incur losses when a stockbroker “churns”, engages in fraud and/or makes unauthorized transactions by executing buy and sell transactions without the customer’s proper authorization or consent.

A brokerage customer’s claims against the stockbroker and/or the broker/dealer include unsuitability, breach of fiduciary duty, negligence, unauthorized trading, churning, fraud and failure to supervise. With few exceptions, our firm handles these disputes for a client on a percentage or contingency basis depending on the amount recovered for the client.

Our firm has successfully recovered for customers against stockbrokers and broker/dealers in numerous cases in several states across the country.

 

 

Commercial-Business-Dispute

Employment and Commercial or Business Disputes

These consist of disputes between an employee and a business, a customer and a business, a contractor and a business, between individuals of a business related nature, or between businesses that are ordinarily handled in state or federal courts. Some disputes may also be handled through AAA or JAMS arbitration depending on a pre-existing agreement between the parties.

Our firm has various fee arrangements that can be tailored to the circumstances of the client and the nature of the dispute.

 

 

REal-Estate

Real Estate

Any dispute brought in court or arbitration where the subject of the dispute is real property or an interest related to real property.

These include real estate contract disputes, title disputes, border disputes and foreclosures. Our firm has broad based experience in real estate disputes and real estate transactions, including loan restructurings and workouts, and has halted or cancelled several residential and commercial foreclosures on behalf of clients.

 

 

Class-Action

Class Action

Disputes in federal or state court where the plaintiff is an individual acting on behalf of several unnamed plaintiffs with related claims and damages against one or more defendants. Our firm is available to serve as lead class counsel or local counsel.