Broker Misconduct — on Wall Street and Across the Country
Investment Fraud ◊ Securities Arbitration and Litigation ◊ Broker Fraud
Investors and brokers enter into a relationship based on trust. Many laws and regulations are in place to keep that trust from being breached. But sometimes brokers violate that trust through negligence, recklessness or intentional misconduct. Sometimes, investors unfairly blame brokers when investment losses that are due to normal market risks.
Call 212-755-3100 or contact us online
Kaufmann Gildin Robbins & Oppenheim LLP
At Kaufmann Gildin Robbins & Oppenheim LLP , we will do everything we can to return you to the state you were in before the dispute. We strive to recover our clients' money and their reputations. We can't promise miracles, but our experienced lawyers can minimize your losses.
Types of Services Available at Our Firm:
- Representing Investors
- Defending Brokers
- Securities Law - Adversarial
- FINRA – Arbitration, Mediation and Regulatory Cases
- Arbitration vs. Mediation
- Regulatory Enforcement Representation
- Vacating / Appealing Arbitration Decisions
- Broker Record Expungements
- Broker Registration Problems
Types of Losses, Disputes and Broker Misconduct:
- Investment Wrongdoing
- Broker Negligence
- Stock Manipulation
- Order Failure
- Theft and Forgery
- Churning / Excessive Trading
- Unsuitability
- Unauthorized Trading / Discretionary Trading
- Breach of Fiduciary Duty
- Misrepresentation / Omission
- Selling Away / Affinity Fraud
- Failure to Supervise
- Fixed Income Losses
- Variable Annuities
- Auction Rate Securities
We also accept referrals from attorneys with clients who have problems in this highly specialized area of law.
Attorney David E. Robbins, who leads our securities arbitration and litigation department, is the author of the definitive textbook on this area of law. Securities Arbitration Procedure Manual is used throughout law school, law firms and brokerage firms nationwide.
To schedule an appointment to discuss securities litigation and arbitration, call us today at 212-755-3100 or just contact our firm online.
