Securities Industry Litigation and Regulatory Counsel
We are trusted advisors for litigation and regulatory enforcement matters. When disputes arise – in the enforcement, customer and employment context – we are skilled negotiators, using every available resource to protect our clients and minimize disruption to their business. When litigation is unavoidable, however, we are tenacious advocates with time-tested experience before state and federal courts and regulatory bodies, and in a broad range of arbitration and mediation settings.
Leveraging decades of collective experience in the financial services sector, our firm was established to help clients respond to this rapidly changing environment and highly complex marketplace.
Our size is one of our best assets; we staff matters leanly to ensure the highest degree of client service at reasonable and predictable rates. We are entrepreneurial and we are nimble, avoiding the enormous inefficiencies so common at larger firms. And we love what we do, which means we do it well.
- Robert Herskovits Appears on Reuters TV Side Bar Show
- FINRA Identifies "Red Flags" for AML Compliance FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of
- 4th Circuit Further Defines A "Customer" Under FINRA Arbitration Rules Following its broad ruling in UBS Financial Services v. Carilion Clinic, 706 F.3d 319 (4th Cir. 2013), the 4th Circuit has issued two recent