Defense of Investor Claims

The firm vigorously represents broker/dealers and investment advisers in all aspects of securities and commodities litigation. Our representations have included class actions, mass actions and individual lawsuits in federal and state courts across the country, as well as in arbitration proceedings in all of the major forums, including those of the Financial Industry Regulatory Authority, the New York Stock Exchange, the American Arbitration Association, JAMS, the National Futures Association and in Commodities Futures Trading Commission Reparation Proceedings.

Some of the claims and issues with respect to which we have successfully represented clients include:

  • Auction rate securities
  • Collateralized debt obligations
  • Hedge funds
  • Suitability
  • Excessive trading
  • Unauthorized trading
  • Breach of fiduciary duty
  • Breach of contract
  • Failure to supervise
  • Market manipulation
  • Online trading
  • Blue sky violations
  • Analyst recommendations
  • Market timing issues
  • Insider trading


Mediation is increasingly being used as an alternative means to resolve disputes in the financial services industry, as well as elsewhere. When considering mediation, clients need attorneys who are experienced in the process and dynamics of this dispute-resolution method. We help clients determine which cases are likely to be best served through mediation and prepare and present their positions in a manner that is most appropriate for this style of advocacy and resolution.


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