Broker Dealer Litigation, Arbitration & Regulation

GrayRobinson attorneys have extensive experience in all aspects of securities and financial services industry litigation, arbitration, and regulatory proceedings. We regularly represent both public and private companies, banks, issuers, underwriters, broker-dealers, investment advisors and their respective officers, directors, and registered representatives in state and federal courts, as well as in arbitration proceedings administered by a wide variety of arbitration organizations including the Financial Industry Regulatory Authority (FINRA), New York Stock Exchange (NYSE), Chicago Board of Options Exchange (CBOE), National Futures Association (NFA), American Stock Exchange (AMEX), American Arbitration Association (AAA), Pacific Stock Exchange (PSE) and the Judicial Arbitration and Mediation Services (JAMS). Over the years, we have tried and arbitrated cases involving a multitude of different investment products and services that extend far beyond disputes over conventional investments such as stocks, bonds and mutual funds.

Lawyers in our group have litigated and arbitrated cases involving limited partnerships, private equity, collateralized debt/loan obligations, promissory notes, leveraged exchange-traded funds, hedge funds and funds of hedge funds, auction rate securities, commodities and futures trading, options trading, restricted securities, concentrated stock positions and numerous other alternative investment products and strategies. We have also litigated and arbitrated selling away cases and defended clients against charges of churning, unauthorized trading, inadequate due diligence, undisclosed conflicts of interest, unauthorized margin liquidations, order execution failures, unregistered securities sales, unsuitable recommendations/advice, overconcentration, market manipulation, exploitation, failure to hedge, raiding, wrongful termination, discrimination, defamation and alleged whistleblower law violations.

We apply this experience not just in litigation and arbitration proceedings, but also in investigations and administrative actions initiated by the SEC, FINRA, bank regulators and state regulatory agencies.