Securities Litigation & FINRA

Practice Area

Securities Litigation & FINRA

In these volatile times, when the financial industry faces an uncertain regulatory environment, volatile markets, and a rise in consumer claims, Lewis Brisbois provides an experienced and nationally available team of litigators to efficiently and effectively protect and defend financial brokers and broker dealers from claims of financial malpractice.

We have extensive experience in litigating consumer claims, with an understanding of the legal issues, rules, and guidelines involved, and the financial environment in which the claim is being made.

Attorneys in our nationwide team of qualified and experienced litigators are available to represent financial members throughout the nation before the Financial Industry Regulatory Administration (FINRA) , and before most state and federal courts for claims of negligence, misrepresentation, fraud, underperforming investments, churning, unsuitability, failure to diversify, failure to supervise, failure to use due diligence, violation of blue sky laws, and numerous other allegations of error or omission by the financial representative or their broker dealer.

In the past we have achieved positive results for our clients through successful negotiations of a settlement of the claims, or when necessary, a successful outcome at trial or arbitration.

Our successful representations of our clients, our broad experience in financial products, and our ability to represent our clients across the nation sets us apart from other firms in the representation of securities brokers and broker dealers in all such matters.


Vice Chair

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