Practice Areas

Defending Brokers

United States Broker Defense Attorneys

Are you a broker, investment advisor or brokerage firm accused of negligence or unethical behavior? We can help.

From the first signs of a customer complaint until its resolution – through settlement or contested hearings – the experienced United States broker defense attorneys at the New York law firm of Kaufmann Gildin & Robbins LLP will apply their wealth of experience and extensive expertise in the area of securities law and arbitration to provide you or your firm with "damage control" or complete vindication.

At the outset of a customer complaint we can assess its merits and recommend a course of conduct that can reduce the likelihood that an arbitration claim will be filed, thereby avoiding possible disciplinary proceedings and maintain your otherwise unblemished record.

If a claim is filed we will work with you to devise a "trial strategy" – from the contents of an effective answer, through comprehensive discovery requests, witness preparation and presentation at hearings. Where necessary, we will recommend and work with expert witnesses to provide support to our defenses. And if the complaint gives rise to a regulatory inquiry, we can represent you before the FINRA, SEC and state regulators.

Contact us today if you or your firm has been accused of:

Even if it appears that your firm has exposure in a case, we can recommend alternatives to a full-blown arbitration hearing, thereby controlling the outcome, rather than leaving it in the hands of an arbitration panel. We can help control risk. For example, mediation has become the cost-effective alternative to securities arbitration. Our senior partner in charge of the securities group is a noted mediator, often being retained by large brokerage firms to settle customer and industry disputes. His settlement rate for all securities mediations exceeds 90%.

Even if it appears that there is a strong case against one of your brokers or against the firm for supervisory issues, we can either negotiate a reasonable settlement or represent you in contested hearings.

As a broker facing allegations of wrongdoing or an internal brokerage investigation, or as an investment firm facing allegations of misconduct, failure to supervise, or other complaints, you simply can't afford not to hire attorneys with decades of experience in handling these types of matters. Two of our attorneys are former State Securities Prosecutors and former directors of the American Stock Exchange.

At Kaufmann, Gildin and Robbins, we have the experience, we have the knowledge, and we stand ready to put it to work in your defense. From disciplinary proceedings to arbitrations, mediations and contract negotiations with brokerage firms, our law firm knows most aspects of the securities industry.

Contact us today for immediate advice and representation aimed at protecting your livelihood and your reputation. Our firm is recognized from coast-to-coast as one of the preeminent authorities on securities law, investor fraud, and securities arbitration. We stand ready to assist you.

New York law firm of Kaufmann Gildin & Robbins LLP provides astute advice and counsel and dedicated, effective representation to investors and brokers throughout New York City, the United States, and around the world.