top of page


Securities Arbitration & Litigation

Our lawyers have represented clients in proceedings before the Financial Industry Regulatory Authority (FINRA), National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE) and the American Arbitration Association (AAA). Our lawyers also act as arbitrators hearing disputes, and have been appointed to the arbitration panels of the FINRA, NASD, NYSE and the courts. 

We regularly represent customers and stockbrokers. Our lawyers also have represented brokerage firms and investment advisors. We have litigated and arbitrated cases involving claims of fraud, churning, suitability, negligence, negligent supervision, order failures, breach of contract, margin violations, unauthorized trading, wrongful termination, defamation, breach of non-compete covenants and tortious interference claims. Our lawyers have handled cases involving stocks, bonds, options, limited partnerships, mutual funds, and employee stock options.

Listed below are some significant securities cases our lawyers have arbitrated or litigated:

Heutmaker v. International Gold Resources
Represented investor in one week trial that resulted in judgment in favor of client for $1.2 million in case concerning Rule 144 stock. 

Wendling v. Merrill Lynch
Represented customers in securities arbitration over handling of incentive stock options. $1.74 million award for customers.

Bear Stearns v. Sitlington
Defended arbitration case for customer that resulted in the arbitration panel awarding customer $256,000 on counterclaims, and dismissing Bear Stearns' claims. 

Baker v. Global Trading Group, Inc.
Represented customer in case against broker-dealer and its owner for securities violations. Client received arbitration award and later judgment for $314,303. 

Williams v. Renaud
Defended broker on securities claims. Court dismissed all claims on defendant's motion.

There are no guaranteed outcomes in the law. Every case is different, and the results obtained will depend upon the specific facts and circumstances of a client's situation. 

bottom of page