Based in the New York metro area, our financial services attorneys represent investors and advisors in securities law matters nationwide.
Contact us today for a no-cost, confidential consultation.
We represent investors.
We represent investors in connection with losses caused by defective financial products, or due to the misconduct or negligence of a financial advisor or related wealth management firm. Areas in which we represent investors include, but are not limited to, non-traded business development companies (BDCs), non-traded real estate investment trusts (REITs), oil and gas funds, private placements, and variable annuities. We accept the majority of our cases on behalf of investors on a contingent basis, meaning you will owe no legal fee unless a recovery is obtained.
We represent advisors.
Our attorneys have represented registered representatives and other licensed securities professionals on a range of cases. In addition to managing Form U5 expungement proceedings before FINRA, our attorneys have handled stockbroker transitions, regulatory inquiries including On the Record (OTR) interviews before FINRA Enforcement, promissory note defense cases, and other employment matters. We also monitor FINRA, SEC, and state-level regulatory developments and can advise you as to potential legal ramifications or business impacts.
We understand financial services.
We offer broad-based counsel on a range of legal matters related to securities and the financial services industry. Our attorneys understand the financial services industry from the inside, having previously worked on Wall Street and having served in a General Counsel capacity to a FINRA-member broker-dealer. We understand and have dealt with matters involving a wide range of investments, from stocks, bonds, mutual funds, and exchange-traded funds, to BDCs, REITs, and energy funds, to more complex investment products and strategies.