About Us:

Our firm has a team of attorneys, consultants and others with more than 100 years of combined experience in the securities industry and in securities law. Since 1990, we have represented thousands of investors nationwide to recover losses.  We have represented clients in Federal and state courts and in arbitration through The Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. (NYSE), the American Arbitration Association (AAA) and  in private arbitration actions.

Collectively, our clients have recovered more than $100 million through our assistance in negotiation, mediation, arbitration and litigation. More than 90% of those who have engaged our services have recovered all or a portion of their losses.  We have represented clients in approximately 1,000 matters in court, arbitration and/or mediation in Albany, Albuquerque, Atlanta, Austin, Augusta, Baltimore, Bismarck, Boise, Boston, Burlington, Charleston, Charlotte, Cheyenne, Chicago, Cinncinati, Cleveland, Columbia, Dallas, Denver, Des Moines, Detroit, Hartford, Helena, Honolulu, Houston, Indianapolis, Jackson, Kansas City, Las Vegas, Lexington, Lincoln, Little Rock, Los Angeles, Louisville, Manchester, Miami, Mexico City, Milwaukee, Minneapolis, Montpelior, Nashville, Newark, New Orleans, New York City, Norfolk, Oklahoma City, Orlando, Philadelphia, Phoenix, Pittsburg, Portland, Providence, Rapid City, Raleigh, Richmond, St. Louis, San Diego, San Juan, San Francisco, Seattle, Tampa, Wichita, Wilmington, and other cities nationwide. When  necessary, we team with attorneys in our client's hometown or state at our expense.

We have also served many international clients, partitularly from Latin America.  FINRA Rules governing the jurisdiction of U.S. based brokerage firms require that international clients with brokerage accounts at FINRA registered firms must file all claims for relief in arbitration cases at locations within the United States. 

Legal, Brokerage Firm and Investment Experience

Members of our firm have more than 100 years of combined experience in the securities industry and in securities law. Our attorneys have each received a law degree from an accredited law school.  The founder of our firm also earned an advanced law degree (LLM) in Securities Regulations from Georgetown Law School in Washington, D.C.  Most of our attorneys also worked as licensed securities brokers at major brokerage firms, some serving as vice president and/or in supervision and compliance at those firms. Most of the members of our staff and consultants also worked at investment and brokerage firms and many of them were also licensed representatives and/or supervisors. Collectively, the members of our team have worked for dozens of securities firms, including almost every major brokerage firm on Wall Street.

To learn more about our attorneys and our staff, click here.

We have served as media and Congressional consultants - and more!

Over the years, legal commentary and analysis by current and/or former attorneys at our firm have been sought and featured in the Wall Street Journal, USA Today, New York Times, Los Angeles Times, Chicago Tribune, Dallas Morning News, Houston Chronicle, Minneapolis Star Tribune, New York News, New York Post, San Francisco Chronicle, Orlando Sentinel, Time Magazine, Christian Science Monitor, American Lawyer, National Law Journal, Legal Times, Crain's Chicago Business, National Post (Canada), Financial Times of Germany, Dow Jones Newswires, Reuter's, Associated Press, Bloomberg News, Agence France Presse, and numerous other publications and media services.

Legal interpretation and analysis by current and/or former attorneys at our firm were highlighted on NBC's Today Show and Nightly News, ABC's World News Tonight, Public Broadcasting Service's Nightly Business Report, CNNfn's Money Gang, CNNfn's StreetSweep, CNBC's Business Center, CNBC's Sqawk Box, National Public Radio's All Things Considered, National Public Radio's Morning Edition, Fox News Channel's Your World With Neil Cavuto, CBS Marketwatch, The Street.com, Forbes.com, MSNBC, the BBC, CBS radio and numerous other media outlets.

Commentary and advice by members of our firm regarding securities arbitration, problems in the securities industry, as well as concerning pending litigation has been sought by and provided Members and Committees of both the U. S. Senate and House of Representatives. Such commentary and advice has been furnished to the Office of the President of the United States as well as to a number of candidates for that office. We have also been requested to speak before various audiences on such issues in forums including through U. S. Departments, various legal bar associations and in legal continuing legal education programs.

Why you should hire an experienced attorney to seek recovery in securities arbitration.