Securities Law

Bressler, Amery & Ross is nationally recognized for its practice in the area of securities litigation and regulation. For over 30 years, we have represented financial institutions, individuals, and investment and financial advisory firms before State and Federal courts and regulatory bodies throughout the nation. Our clients include many of the leading national brokerage and clearing firms, as well as regional firms.

The firm defends brokerage firms and associated persons in individual actions and class action and mass action litigation in State and Federal courts and in arbitrations before the securities industry’s self-regulatory organizations. These cases include allegations such as misrepresentation, fraud, unsuitability, and churning in the purchase and sale of securities; conflicts of interest involving firm research departments and individual research analysts; improper mutual fund sales practices; fraud in underwriting; and similar issues. We have extensive experience in seeking to resolve such claims through mediation.

Our practice extends well beyond litigation and arbitration.  We represent firms and associated persons in connection with formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority ("FINRA"), state bureaus of securities, and state attorneys general. We advise our clients on internal policies and procedures designed to minimize the risk of customer disputes or regulatory inquiries. We assist our clients with intercompany and industry agreements and disputes.

We also assist in the formation and registration of broker-dealers, the transfer and ownership of existing firms, and firm and individual licensing with state regulatory agencies and FINRA.