Represents investors nationwide in securities arbitration pursuing recovery of lost investment dollars due to negligence and misdeeds of brokerage firms and brokers. Secondarily represents brokers in employment, promissory note, and regulatory ma...
Practice areas & skills: Financial Markets and Services, Securities & Investment Fraud, Employment & Labor
Over twenty years experience in law, commercial real estate lending, foreclosures, loan workouts and mediation. Held various legal and management positions with financial institutions, law firms, investment banks and developers.
Practice areas & skills: Financial Markets and Services, Business, Contracts & Agreements, Real Estate, Mediation
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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.