Securities Arbitration

The Firm has represented numerous individuals and institutional investors in securities arbitration and litigation.  Attorneys for the Firm have appeared before the National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), American Arbitration Association (AAA), and in numerous state and federal courts to resolve financial disputes involving customers, brokerage firms and other financial institutions. Investors who maintain accounts with brokerage forms and have been damaged are required to bring their disputes, for the most part, before the NASD or the NYSE. While arbitration used to be an informal process, it is now quite complex and resembles and formal court proceeding. Topics under this area include churning, breach of fiduciary duty, failure to follow instructions, self-dealing and inappropriate recommendations, among other things.

For further information on any securities related matter, please contact James R. Ballard.

<back

Practice Areas

Civil Trial & Appellate Practice

Business & Commercial Litigation

Construction Litigation

Employment Litigation

Landlord-Tenant

Personal Injury & Wrongful Death

Product Liability

Securities Arbitration

Unfair Competition Litigation

Business Counseling

Commercial Law & Corporate Law

Developers, Contractors, Architects, Etc.

Employment Related Matters

Entity Selection and Formation (including sole proprietorships and general partnerships, limited liability corporations and corporations)

Estate Planning

Licensing Matters

Mergers and Acquisitions (buying and selling businesses)

Real Estate Acquisitions

Trademarks