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INDUSTRY DISPUTES & CUSTOMER DEFENSE
Customer Defense
The attorneys of Stein & Stein, P.A., Attorneys & Counselors has represented more than two dozen brokerage firms in hundreds of customer and client disputes relating to investment losses. The firm has represented these brokerage firms and individual security brokers in state and federal courts, arbitrations, including FINRA, and before other self-regulatory organizations. For approximately 30 years, some of the lawyers of the firm have defended claims, some of which were in excess of millions of dollars, for matters relating to unsuitability, fraud, churning, misrepresentations/omissions, breach a contract, breach of fiduciary duty, and other types of investment claims. The firm has represented some individual brokerage firms for the last 25 years concerning hundreds of the securities defense matters.
Industry Disputes/Employment Litigation
The attorneys of Stein & Stein, P.A., Attorneys & Counselors have handled more than 600 industry disputes. They routinely represent brokerage firms and individual securities brokers in matters pertaining to non-competition agreements, non-solicitation agreements, raiding and unfair competition matters, “broker protocol” matters, wrongful termination matters, and enforcement and the defense of promissory note matters. Craig Stein has represented more than 400 individual brokers relating to issues and litigation, pursuant to their transfer from one securities brokerage firm to another. These matters have been litigated in state courts and federal courts across the State of Florida. These matters have also been arbitrated and mediated into multiple self-regulatory organizations, including FINRA.
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