Financial services firms and professionals need trusted counsel who understand their business, regulators, and risks, enabling them to move forward with confidence. That’s where our FINRA and securities litigation attorneys come in.
Our team helps financial services firms and professionals navigate complex regulatory and dispute resolution forums with clarity and precision. We guide clients through proceedings before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), Judicial Arbitration and Mediation Services (JAMS), and other mediation and alternative dispute resolution (ADR) venues. Our focus is on protecting your reputation, minimizing disruption, and achieving practical results.
Who We Serve
We work closely with the regulators that oversee your operations, including the FDIC, Federal Reserve, OCC, CFPB, SEC, FINRA, and state banking and financial services agencies nationwide. Our team also includes those who have worked in-house for major financial institutions and public companies. These established relationships and firsthand experience enable us to anticipate regulatory expectations and advocate effectively.
We represent a broad range of financial industry clients, including:
- Brokerage firms, broker-dealers, and financial advisors
- Investment advisers and advisory firms
- Investment companies and trustees
- Futures commission merchants, introducing brokers, and associated persons
- Banks and other financial institutions
Experienced Guidance at Every Stage
With extensive experience handling FINRA arbitrations and mediating complex disputes, our attorneys provide strategic, end-to-end support at every stage. From pre-claim counseling and risk assessment to discovery, hearing preparation, and post-award enforcement or appeal, we deliver practical, business-focused guidance tailored to your objectives. Clients rely on us to address critical issues such as:
- Compliance challenges, regulatory examinations, and internal investigations
- Allegations of breach of fiduciary duty or misrepresentation
- Claims involving suitability, unauthorized trading, churning, or failure to supervise
- Promissory note disputes and Form U5 defamation matters
- Regulatory inquiries and enforcement actions
- Expungement proceedings
- Disputes related to advisor transitions and customer account transfers
- Securities class action litigation
Read more about the attorneys who make up our deep bench in Financial Services Litigation on our team page.
