We are well-known for our experience representing major brokerage firms, independent broker-dealers, investment advisers, registered representatives, clearing firms, compliance professionals, and other associated persons in all types of disputes, from the most complex class actions involving millions of dollars to the most straightforward arbitrations with smaller amounts at stake. We represent our clients in federal and state courts throughout the country, as well as in all the major arbitration forums, including FINRA, CBOE, and MSRB. Our lawyers have seen almost every type of securities product, and we rarely see claims or theories with which we are not already familiar. We also have considerable experience handling intra-industry disputes, including clearing disputes, compensation disputes, and broker transition cases.
We have collectively handled hundreds of arbitration claims. Our years of experience have enabled us to develop tried and true approaches to a wide variety of claims, and a keen understanding of how to navigate them effectively. We also maintain a vast database of arbitrators in Florida and around the country, so we can efficiently learn as much as possible about the panel during the selection process and prior to the final hearing.
Our representative experience includes claims involving unsuitability, securities fraud, breach of fiduciary duty, selling away, churning, unauthorized trading, overconcentration, unauthorized use of margin, mutual fund switching, failure to supervise, violations of state and federal securities laws, violations of state consumer protection and elder abuse statutes, and others. We have seen just about every type of investment product, including stocks, bonds, mutual funds, options, derivatives, variable annuities, exchange-traded funds (ETFs), limited partnerships, oil and gas, payphones, ATMs, viaticals and life settlements, and many others.