My law firm provides legal representation for securities fraud cases in federal and state courts and at arbitration facilities throughout the United States, as well as before federal, state and industry regulatory agencies.
Since 1981, I have litigated a broad variety of civil and commercial tort, contract, statutory and regulatory issues, both simple and complex, including class actions, representing individuals and companies. My practice has afforded me trial and other substantial courtroom experience, including oral arguments of motions in federal and state courts throughout the country. I represent American and foreign clients. Details of my practice appear on three pages of this web site: biographical information, services for brokers and services for investors.
I have appeared in the defense of brokerage firms and individual registered representatives in regulatory proceedings before a number of State Securities Commissions, the Securities and Exchange Commission (SEC) and various securities industry self-regulatory organizations. I have participated in hundreds of securities industry arbitrations, successfully settling many of them. In scores of instances where particular cases could not be settled, I have tried those cases at the following arbitration facilities:
- American Arbitration Association (AAA)
- American Stock Exchange (Amex)
- Chicago Board of Options Exchange (CBOE)
- Commodities Futures Trading Commission (CFTC)
- Municipal Securities Rulemaking Board (MSRB)
Financial Industry Regulatory Authority, Inc. (FINRA) (f/k/a
National Association of Securities Dealers [NASD])
- New York Stock Exchange (NYSE)
Please feel free to telephone or e-mail me about your particular situation.
There is no charge for an initial telephone consultation.