For over 15 years, our lawyers have represented clients in actions brought under the jurisdiction of the NASD which is now known as FINRA.  These matters involve losses sustained by customers of broker/dealer companies, generally involving investment advice.  These cases are determined through a process known as binding arbitration as governed by the rules and regulations of FINRA.

 

We also have substantial experience in the representation of trust companies and their officers who are being sued by trust department customers who may have suffered losses as a result of alleged negligence or wrongful conduct.