Arbitration/Litigation

Having represented broker-dealers and individuals in hundreds of FINRA and AAA arbitrations, including matters where the potential financial exposure was in the hundreds of millions of dollars, we are well adept at evaluating cases, developing cost-effective strategies, managing risk exposure and taking cases to hearing.

We have handled arbitrations involving routine sales-practice issues relating to suitability, concentration, breach of fiduciary duty and breach of contract, and more complex arbitrations involving structured products, auction rate securities, CDOs, swaps, commodities, prepaid forward contracts and related tax issues, collars, foreign currency trading, foreign stock registration, prime-brokerage issues and off-shore trust company disputes. Whether the case involves garden-variety products or sensitive issues, the firm’s clients benefit from our collective experience and our extensive understanding of the arbitration process.

In addition to our significant arbitration experience, the firm’s lawyers have experience representing organizations and individuals in complex and highly sensitive disputes before federal and state courts. Our experience includes defending multi-million dollar claims relating to securities laws, contract disputes, real estate transactions, breach of fiduciary duty and fraud claims.