Traders and independent investors have been represented in court and relevant arbitration forums (including the New York Stock Exchange, National Association of Securities Dealers, National Futures Association, and American Arbitration Association), in various trading disputes and general customer-broker matters, including claims involving trade execution issues, compliance violations, fraud, nondisclosure, suitability, unauthorized trading, churning, mismanagement, breach of contract, and fiduciary relationships.
Industry registrants have been represented in diverse filings, investigations, and proceedings before the Commodity Futures Trading Commission and National Futures Association, the Securities and Exchange Commission and National Association of Securities Dealers, and various commodities and securities exchanges, as well as in matters involving the offices of the United States Attorney, and the New York District Attorney and Attorney General.
Prospective, present, and former employees have been represented in various employment matters, including the negotiation of employment or termination agreements, as well as issues and proceedings relating to severance, commissions, deferred compensation, loan repayments, restrictive covenants, non-compete and non-solicitation agreements, stock ownership, and U-5 language.
Individuals, partnerships, and corporations have been represented in various commercial matters, including general business issues, corporate and partnership controversies, and real estate matters (relating to land use, as well as commercial and residential leasing disputes).
Clients have been represented in appeals of various matters from all relevant federal and state courts, administrative agencies, and arbitration forums, to various federal courts of appeals and state appellate courts, as well as the United States Supreme Court.
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