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Defense of CEO from SEC

Regulatory

Securities

The Firm defended a chief executive officer in a civil enforcement action brought by the U.S. Securities and Exchange Commission. The Firm scored an unusual victory in the case by winning a motion to strike pejorative remarks and unproven conclusions from papers filed by a court-appointed receiver.

Represented Firms Connected to FINRA Investigations

Arbitration

Securities

The Firm has represented agents of major financial services firms in connection with certain FINRA Investigations.

Initiated FINRA Arbitration and Settled on Favorable Terms

Arbitration

Securities

The Firm represented an individual who entrusted more than $1 million in retirement savings to a stockbroker who grossly mishandled the investments. The Firm initiated a FINRA arbitration against the stockbroker, Firm, and various control persons and settled the matter on favorable terms.

Initiated FINRA Arbitration for Physician and Family

Arbitration

Securities

The Firm represented a physician and his family who had brokerage accounts with an independent broker dealer that were grossly mishandled. The Firm initiated a FINRA arbitration asserting churning, unauthorized trading, and other related claims. The filing led to a separate FINRA regulatory inquiry and the matter settled before hearing.

Initiated FINRA Arbitration over Unpaid Commissions

Arbitration

Commercial & Business Litigation

Securities

The Firm represented a former registered representative in a dispute with another representative over unpaid commissions. The Firm initiated a FINRA arbitration and obtained a full recovery with interest following an evidentiary hearing.

Negotiated Resolution for Atlanta Business Owners

Regulatory

Securities

The Firm defended two Atlanta-based business owners in connection with an investigation initiated by the Alabama Securities Commission and negotiated a resolution of the matter.

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