Investor Claims
Representation in disputes involving investment losses and misconduct.
Securities law representation is the firm's core service. Its attorneys represent investors in claims involving defective financial products, advisor or wealth management firm misconduct, and losses connected to investments such as non-traded BDCs, REITs, oil and gas funds, private placements, and variable annuities. The firm also represents registered representatives and other licensed securities professionals, including in FINRA Form U5 expungement proceedings, stockbroker transitions, and regulatory inquiries. Matters may proceed through securities arbitration or regulatory proceedings before FINRA and the CFP Board. Most investor cases are accepted on a contingent basis, with no legal fee owed unless a recovery is obtained. Attorneys admitted in New York and New Jersey handle matters in other jurisdictions on a case-by-case basis. The firm is based in Jersey City and represents clients nationwide.
Disclosure: Profile information has been compiled from publicly available sources and has not yet been verified by the business.
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Representation in disputes involving investment losses and misconduct.
Counsel for registered representatives and licensed securities profess
Handles arbitration, Form U5 expungement, and regulatory matters.
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