Securities Litigation & FINRA Arbitrations

NYC FINRA Defense Lawyers

Securities litigation and FINRA arbitration involve intricate legal and regulatory challenges that necessitate a deep understanding of the financial markets and securities laws. Our securities attorneys at Scarinci Hollenbeck, LLC have extensive experience in handling a wide range of securities disputes, including:

Securities Fraud

Securities fraud encompasses a variety of illicit activities, such as misrepresentation, insider trading, and market manipulation, that can significantly impact the integrity of financial markets. Our SEC lawyers are adept at navigating these high-stakes cases, offering robust defense and strategic counsel to our clients. Our experience includes:

• Misrepresentation: Defending clients accused of providing false or misleading information to investors, including fraudulent financial statements and omissions of material facts.
• Insider Trading: Representing entities facing allegations of trading based on non-public, material information with comprehensive defense strategies.
• Market Manipulation: Handling cases involving schemes to artificially inflate or deflate stock prices, including pump-and-dump schemes and spoofing.

Regulatory Investigations

Regulatory investigations by bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) can be daunting and complex. Our team at Scarinci Hollenbeck, LLC provides the right assistance in responding to these investigations, offering strategic counsel to mitigate risks and protect our client’s interests. Our services include:

• Initial Response: Helping clients prepare timely and accurate responses to regulatory inquiries, ensuring compliance with all procedural requirements.
• Document Production: Managing the collection, review, and production of documents requested by regulatory bodies.
• Interviews and Testimony: Preparing clients for interviews and testimony before regulatory bodies.
• Settlement Negotiations: Negotiating settlements with regulatory bodies to resolve investigations favorably and minimize potential penalties.

Broker-Dealer Disputes

Broker-dealer disputes often involve complex allegations such as unsuitable investments, breach of fiduciary duty, and churning. Our attorneys at Scarinci Hollenbeck, LLC have a strong track record of achieving favorable outcomes in these cases, defending broker-dealers against customer claims and regulatory actions. Our services include:

• Suitability Claims: Defending broker-dealers against claims of recommending unsuitable investments to their clients.
• Breach of Fiduciary Duty: Representing broker-dealers in cases involving allegations of breach of fiduciary duty.
• Churning: Defending against claims of excessive trading in clients’ accounts for the purpose of generating commissions.

Shareholder Litigation

Shareholder litigation encompasses a variety of disputes, including shareholder derivative actions, class actions, and other corporate governance issues. Our securities attorneys at Scarinci Hollenbeck, LLC are skilled in defending against allegations of breach of fiduciary duty and other shareholder claims. Our services include:

• Derivative Actions: Representing companies and their officers and directors in shareholder derivative actions.
• Class Actions: Defending against shareholder class actions involving allegations of securities fraud and misrepresentation.
• Corporate Governance: Advising clients on corporate governance matters to prevent disputes and ensure compliance with regulatory requirements.

Whistleblower Claims

Whistleblower claims related to securities law violations are protected under federal and state laws. Our attorneys at Scarinci Hollenbeck, LLC provide guidance on the legal rights of whistleblowers and represent them in related legal proceedings. Our services include:

• Whistleblower Protections: Ensuring that whistleblowers are protected under the Dodd-Frank Act and other relevant laws.
• Reporting Violations: Assisting whistleblowers in reporting securities law violations to regulatory bodies such as the SEC and FINRA.
• Legal Representation: Representing whistleblowers in any subsequent legal proceedings, including retaliation claims.

Real Estate Securities

Real estate securities, including real estate investment trusts (REITs) and other real estate investments, present unique legal challenges. Our team at Scarinci Hollenbeck, LLC is experienced in handling these complexities and provides comprehensive legal advice and defense-related to real estate securities. Our services include:

• Regulatory Compliance: Advising clients on compliance with SEC regulations and other applicable laws governing real estate securities.
• Litigation Defense: Defending clients against litigation involving real estate securities.
• Structuring Transactions: Assisting clients in structuring real estate securities transactions.

Defense of Broker-Dealers

Our team at Scarinci Hollenbeck, LLC has a proven track record of defending broker-dealers in arbitration and litigation. Our services include:

• Regulatory Defense: Defending broker-dealers against enforcement actions by regulatory bodies such as the SEC, FINRA, and state securities regulators.
• Customer Disputes: Representing broker-dealers in disputes with customers.
• Compliance Programs: Advising broker-dealers on the development and implementation of compliance programs.

Investor Claims

We represent investors in claims against broker-dealers and investment advisors for misconduct, including unauthorized trading, unsuitable investment recommendations, and fraud. Our attorneys at Scarinci Hollenbeck, LLC are committed to protecting investors’ rights and seeking compensation for their losses. Our services include:

• Unauthorized Trading: Representing investors in claims involving unauthorized trading in their accounts.
• Unsuitable Recommendations: Advocating for investors who received unsuitable investment recommendations.
• Fraud and Misrepresentation: Pursuing claims of fraud and misrepresentation against brokers and advisors.

Corporate Governance

At Scarinci Hollenbeck, LLC, we provide counsel on corporate governance matters, ensuring that our clients adhere to best practices and regulatory requirements. Our experience includes advising on fiduciary duties, compliance programs, and internal investigations. Our services include:

• Board Oversight: Advising boards of directors on their oversight responsibilities.
• Fiduciary Duties: Providing guidance on the fiduciary duties of directors and officers.
• Compliance Programs: Assisting clients in developing and implementing comprehensive compliance programs.
• Internal Investigations: Conducting internal investigations into potential corporate misconduct.

Regulatory Compliance

Our attorneys at Scarinci Hollenbeck, LLC offer guidance on regulatory compliance, helping clients navigate the complex web of securities laws and regulations. We assist with the development and implementation of compliance programs tailored to our clients’ specific needs. Our services include:

• Regulatory Audits: Preparing clients for regulatory audits and examinations by the SEC, FINRA, and other regulatory bodies.
• Compliance Training: Providing training programs for employees and management on regulatory requirements and best practices.
• Policy Development: Assisting clients in developing and updating compliance policies and procedures.
• Risk Management: Helping clients identify and manage regulatory risks related to their business operations.