As a former SEC lawyer and current FINRA arbitrator, Mr. Stephens’ legal practice forcuses on representing clients in binding securities arbitration before FINRA seeking to recover damages (compensatory and punitive) caused by improper stockbroker...
Practice areas & skills: Financial Markets and Services, Arbitration, Securities & Investment Fraud
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Financial markets, like NASDAQ, serve as clearing houses for stock sales and trades of publicly owned corporations. The financial markets and services industry is carefully regulated because there is a large volume of daily transactions, with substantial amounts of money involved. Ample room exists for system abuses and simple human error. Financial markets and services attorneys assist in stockholder and investor lawsuits, securities-related class actions, regulatory investigations and enforcement actions, private proceedings, broker-dealer claims, and actions involving tender offers and proxy contests. If you own stock in a publicly held company and have a concern or issue, a lawyer with a background in financial markets and services will be able to advise you.