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ABOUT OUR PRACTICE
Public Customer Disputes
The founding partners have handled hundreds of customer investment disputes on behalf of individual investors, public customers, brokerage firms, investment advisors and individual securities brokers. These actions involve investment losses, stock market losses, mutual funds, bond losses and other types of complex investments. The allegations in those matters have included: Securities Fraud, Churning, Unauthorized Trades, Misrepresentations and Omissions about the risks of the stocks and investments; Negligence, Unsuitable Investments, Over-Concentration, and failure to diversify or hedge brokerage accounts; Trading Away, Selling Away; Breach of Fiduciary Duty and Negligent Supervision. These cases have been adjudicated in federal court, state court, arbitration and mediation. The founding partners have arbitrated in front of the NYSE, NASD, AAA and Financial Industry Regulatory Authority (“FINRA”). The founding members of the firm have been practicing securities law for more than a combined 50 years. They have worked for the Securities Exchange Commission and State of Florida Division of Securities. The firm has helped recover millions of dollars for its clients. The firm is located in the Town of Palm Beach on Palm Beach Island, Florida.
Industry Disputes
The founding partners have handled hundreds of matters relating to broker-dealer disputes. They have represented over two dozen different securities brokerage firms from small boutique firms to large national banks. They represent broker-dealers in regulatory matters in front of Federal, State and Self-Regulatory Organizations, such as FINRA. They represent brokerage firms and individual brokers in employment disputes that relate to non-competition and non-solicitation agreements; promissory notes and loans; negligent termination and wrongful termination. They help individual brokers with issues of licensing before state regulatory agencies and Self-Regulatory Organizations.
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