Our securities trial attorneys handle a wide variety of securities disputes before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), state and federal courts, and other forums. We routinely represent registered investment advisors (RIAs), broker-dealers, and investors in active litigation and counseling contexts.
DSMW has extensive experience in matters involving the following issues:
- Suitability and Trading Practices
- Trade Secret Misappropriation and Protection (including customer lists)
- The Protocol for Broker Recruiting
- Broker-Dealer and RIA Compliance
- Privacy Regulations
- Class Actions
- Whistleblower Claims
- Forgivable Promissory Notes
- Expungement and U4-Related Litigation
Relying on our wealth of employment experience, DSMW also handles employment disputes involving financial institutions, advisors, and employees.