Securities litigation is complex, bringing with it a myriad of legal challenges. Regulatory scrutiny, along with shareholder litigation, account churning, fraud, breach of fiduciary duty and negligence constantly make headlines in the news. We effectively litigate claims under state and federal securities laws. Our attorneys handle arbitrations both against, and in the defense of, brokerage firms and registered representatives before the Financial Industry Regulatory Authority (FINRA) and the Commodities Futures Trading Commission (CFTC). We also have substantial experience defending firms and their employees in connection with the U.S. Securities and Exchange Commission, NYSE, and Chicago Board Options Exchange investigations.
For example, we secured an arbitration settlement on behalf of a claimant involving allegations of fraud by a commodities brokerage firm and in another case, we were successful in defending a stockbroker in a FINRA securities arbitration, obtaining a zero liability award on his behalf.
Partner David Mandel currently acts as the court appointed receiver in Securities and Exchange Commission v. Commodities Online and Securities and Exchange Commission v. Pacific Northwestern Energy, LLC et al. The firm is acting as the receiver’s counsel in both of those matters.
