In this “new economy” individual and small business investors are frequent targets of securities fraud, suitability scams, churning, and dishonest or incompetent brokers. Our attorneys have experience bringing claims before the Financial Industry Regulatory Authority (FINRA) to recover our clients’ hard earned money or life savings.
We defend clients who are involved in investigations by the Securities and Exchange Commission (SEC) or have received a Wells Notice, or who have been formally charged with violating the securities laws. Our experience in these types of matters includes: insider trading, churning, suitability claims, boiler room operations, securities fraud, broker negligence, and Ponzi schemes. Our attorneys include a former federal prosecutor in the securities arena, and we also have experience representing stockbrokers with Form U-4 or U-5 issues.
We help people solve problems by finding creative solutions with their bottom line in mind. How can we help you?
To learn more about how we can help solve your legal problems, fill out our contact form, or e-mail us at firstname.lastname@example.org.You can also reach us by phone at our Stamford office at (203) 826-2006, or call (914) 368-0016 to reach our White Plains office.