We are a leader in representing financial service companies in litigation and arbitration proceedings.  We have represented many broker-dealers, investment banks, investment advisers and other financial organizations in defending claims alleging a vast array of investments, alleging violations of federal and state securities laws, as well as common law claims.  The products at issue run the gamut, from garden variety claims involving stocks and bonds, to claims involving complex investments such as complicated options strategies, leveraged municipal bond arbitrage strategies and structured products.   

Our primary goal in defending litigation and arbitration is to achieve a favorable settlement, so that our client avoids additional legal fees and potential exposure, however small.  Unlike some “securities litigators,” we have a deep bench of excellent trial lawyers who are eager to try cases, when favorable resolutions cannot be reached.  The fact that the claimants’ bar is aware that we do not “blink,” helps us to achieve better settlements than otherwise would be the case.  Among the additional attributes we bring to the table are an extensive database of FINRA arbitrators (it’s critical to know your panel), in-depth knowledge and experience with primary mediators (each of whom has his/her own style) and many years of experience dealing with the primary claimants’ lawyers.    


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