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We represent financial advisory firms, brokers, financial professionals, investors, and advisers in Financial Industry Regulatory Authority (“FINRA”) arbitrations concerning employment, compensation, repayment of loans, hiring and firing, broker misconduct, and other issues.  We have been through every stage of the complex FINRA arbitration process, from the selection of the arbitrator panel, through the exchange of relevant information germane to the claims, to the arbitration hearing at which we call and cross-examine witnesses and offer evidence for consideration by the panel.  FINRA arbitrations closely resemble specialized court proceedings and include specific procedural rules that require careful preparation and strategic planning.  We have extensive experience to help its clients navigate through this process. 

Additional Practice Areas

White Collar Criminal and Regulatory Defense

We defend businesses and individuals in criminal investigations, regulatory enforcement actions, and prosecutions.

Complex Civil Litigation

We resolve high-stakes disputes of all varieties, in all venues, and in all stages of litigation.

Bankruptcy Litigation

We prosecute and defend virtually every type of issue that may arise during a bankruptcy case or adversary proceeding.

Whistleblower Claims

We defend businesses and individuals in whistleblower investigations.  We also advocate for whistleblowers. 

Reassuring, articulate, knowledgeable, and effective. They made the process so much easier and gave me peace of mind in a stressful but successful outcome.