FINRA Arbitrations
The attorneys at KDVG have extensive experience in representing FINRA-registered financial institutions and affiliated individuals in a wide range of litigations, arbitrations, mediations and regulatory proceedings.
The firm’s expertise includes:
- defense of brokerage firms and affiliated individuals with respect to customer complaints (alleging, among other things, unsuitability, unauthorized trading, fraud, churning and failure to supervise);
- prosecution and defense of industry disputes between registered firms (including raiding, unfair competition and clearing issues);
- prosecution and defense of actions between financial firms and their employees (relating to breaches of promissory notes, indemnification issues and employment claims);
- representation of registered firms and individuals in regulatory investigations and enforcement actions by the SEC, FINRA, CFTC, the US Department of Justice, state agencies and other governmental agencies and self-regulatory organizations (including the preparation of “Wells submissions” prior to the commencement of formal enforcement proceedings);
- counseling with respect to a wide range of compliance and regulatory matters.