Our firm has extensive experience in effectively representing clients in the securities litigation arena including: representation of national securities firms in multiple FINRA arbitrations involving alleged mishandling of client accounts; representation of securities broker-dealers in cases involving defections of brokers in violations of covenants not to compete; representation of a national securities firm in investigating and responding to allegations of regulatory violations; and representation of securities firms in responding to court and regulatory agency subpoenas.  Due to litigation successes we have had in this area, we also have been able to achieve favorable settlements in cases where a negotiated resolution was preferable.