Securities Industry Disputes
Wolf Haldenstein is an active participant in the Financial Industry Regulatory Authority (FINRA) Arbitration and American Arbitration Association forums, representing investors with claims against broker-dealers, investment advisors and other financial institutions. Investors improperly placed into investments or harmed by their advisor’s actions deserve representation that can level the playing field.
Wolf Haldenstein has extensive experience representing financial and securities industry professionals under investigation or subject to enforcement actions initiated by FINRA, the SEC, or other federal and state agencies, often obtaining excellent results, some of which are discreet. The Firm also represents clients in disputes with broker-dealers, advisory firms, and other financial institutions.
The Securities Industry Dispute practice is fully supported by the Firm’s Business Practice and Investor Protection practice groups, enabling our attorneys to leverage expertise in complex litigation, securities and derivative litigation, jury trial, accounting and auditing practices to protect our clients and their rights.