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May 23, 2018

SEC Broker Defense Attorneys

Are you a broker or investment advisor whose been accused of negligence, or unethical behavior? Our SEC broker defense lawyers can help. Our experienced United States broker defense attorneys can apply our experience to helping you with all areas of securities law and arbitration. From the first signs of a customer complaint, until the problem is solved, we can help. At the outset of a complaint against you, our broker defense lawyers will assess the merits of the complaint, and recommend a course of action which will reduce the chances of an arbitration being filed.

Our goal is to avoid potential disciplinary proceedings against you, and help you maintain your clean record. If a claim is filed, we work with you to devise a strategy to prevent escalation. We’ll address the claim by crafting an effective response. If needed, we’ll retain expert witnesses to support our defense. If you complaint escalates into a regulatory inquiry, we can help represent you before FINRA, SEC, and other state bodies.

Even if you have exposure in a case, we can help create alternative ways of resolving the issue. Our goal is to avoid an arbitration hearing, and controlling the final outcome of your case. Our goal is to avoid escalation always. For example, we can help propose mediation – instead of arbitration – due to the fact it’s cost-effective. Even if it appears there’s a strong case against you, we can negotiate a settlement and represent you in hearings.

 

 

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Testimonials

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Manhattan

85 Broad Street, 30th Floor
New York, NY 10005

Queens

35-37 36th St,
Astoria, NY 11106

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Manhattan

85 Broad Street, 30th Floor
New York, NY 10005

Phone

888-977-6335

Queens

35-37 36th St,
Astoria, NY 11106

Phone

888-977-6335

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Phone

888-977-6335