Securities Arbitration is how most disputes between customers and financial institutions are resolved. Though often perceived to be an informal arbitration process, they are actually highly specialized proceedings that often last days or weeks, and require a level of expertise gained only through years of experience.
Our areas of securities arbitration include:
Breach of Fiduciary Duty
Unsuitability
Excessive Activity
Over-Concentration
Supervision
Unauthorized Trading
Mutual Fund Fraud
Margin Trading
Misrepresentations & Omissions
Private Placements
Asset Allocation
Ponzi and Pyramid Schemes
Employee Stock Options
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