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Securities Litigation and Arbitration


The effective defense of securities claims brought against the financial services industry and its representatives requires experience with the industry and these kinds of claims. For over twenty-five years, broker-dealers across the country have relied upon our attorneys to successfully defend claims against their representatives. Our securities litigation team represents broker-dealers, registered representatives, and investment advisors in cases arising from the sale of securities. We regularly appear on our clients’ behalf in the FINRA and AAA arbitration forums as well as state and federal court.

Securities Litigation Experience: This Is What We Do

Among the handful of firms across the nation that have practices devoted to these kinds of claims, our attorneys are uniquely experienced to handle your case. Our attorneys were asked to assist with training many of the arbitrators who hear FINRA claims in Ohio and the Midwest. We authored the standard Ohio jury instructions for statutory securities claims that were subsequently adopted by the Ohio Judicial Conference. Our attorneys regularly speak at national and regional conferences of securities defense attorneys and write for national and local publications. Collectively, we have tried hundreds of these claims before FINRA, the NASD, CFTC, and the NYSE.

Securities Industry Knowledge: We Know Your Business

Broker-dealers, banks, and insurance companies facing these claims select our firm because we understand their business. Securities claims have ramifications that are not present in other types of general litigation. The public reporting of claims and settlements effects registered representatives for years to come. Some claims can generate regulatory attention if not handled carefully. The securities industry faces unique records production and retention issues. We know this business and are always sensitive to these issues.

Cost-Effective Representation: Our Value Proposition

Because our practice is devoted to this industry, we can provide these services to our clients in an efficient and cost-effective manner. We work with our clients to evaluate cases early on and build suitable and cost-effective strategies and litigation budgets to resolve or defend the claims. We have experience with many of the nations’ largest broker-dealers and understand how they evaluate and manage these claims. Our rates are competitive with other firms who specialize in this work and where suitable, we enter into alternative fee arrangements with our clients.

We have seen and successfully defended claims arising from numerous investment products and strategies, both common and unusual. Among these claims, we have represented our clients in cases involving:

  • Investment suitability
  • Variable annuities
  • Variable life insurance
  • Option and commodity transactions
  • Selling away
  • Promissory notes
  • Private placements
  • Fraud and misrepresentation
  • Unauthorized trading
  • Trust and beneficiary disputes
  • Enforcement of arbitration agreements
  • Clearing brokers
  • Failure to supervise
  • CRD Expungement
  • Recruiting and employment
  • Raiding in the financial services industry