Securities arbitrations and investment disputes.
We represent investors and savers who have been taken advantage of by stockbrokers, financial planners, investment advisers, stock brokerage firms and the securities industry generally. Often, the cases have been brought against the very largest firms on Wall Street. Other times, claims have been brought against medium-sized and smaller firms that have sold interests in Ponzi schemes to their clients, and even against small pump-and-dump penny stock firms of the sort depicted in the movie, “Boiler Room.”
Usually, brokerage firms’ agreements with their customers require all disputes to be arbitrated. Thus, we handle arbitrations at the NASD, the NYSE, AAA (American Arbitration Association), JAMS and PCX (the Pacific Exchange, formerly known as the Pacific Stock Exchange).