Securities Litigation & Arbitration Practice

The major focus of the practice involves representing financial services industry clients in litigation in state and federal court, as well as in FINRA arbitrations. Our attorneys are highly skilled, creative and motivated litigators who have built a record of considerable success in complex matters in arbitration, at trial and on appeal at all levels of state and federal courts. The firm’s attorneys have significant experience in defending broker dealers in customer complaint cases (including allegations of  unauthorized trading and lack of suitability); representing broker-dealers in various transactional disputes in the financial services industry; and representing both firms and employees in employment disputes.

Another area of emphasis for the practice is in representing hedge and venture funds in a wide range of disputes. We have recently represented the managers of a large Greenwich based hedgefund in connection with claims brought against them under the federal securities laws, and successfully defended those claims before a federal jury. Our attorneys also have experience in high-profile litigation involving bank conversions from mutual to stock companies. Our attorneys have also represented clients in cases involving distressed debt securities, residential mortgage backed securities, loan agreements, warrants and options, convertible bonds, claims of misrepresentation in connection with unregistered offerings, disputes over fees in financial services agreements, promissory notes and private placement memoranda. We have been retained in some of the largest NASD and FINRA arbitrations in the history of the organziations. We have represented a broker dealer in connection with fees associated with a $900 million financing of the largest iron ore mines in the world.