Hire An Attorney Experienced In Securities Law
Our attorneys at The Law Offices of Neal Brickman, P.C., have decades of combined experience in all facets of securities law. We have firsthand experience with registered and exempt offerings of securities and litigation related to:
- Initial public offerings
- Litigation for SEC filings
- Proxy contests
- Tender offers
- Compliance with the short-swing profit rules
Our securities-related experience also includes preparing submissions in response to SEC Wells notices, preparing and filing Schedules 13D and amendments, representing companies in NASD delisting proceedings, defending witnesses in FINRA and SEC investigations, and advising on the regulatory risks of potential transactions.
FINRA Sales Practice Arbitration
Our lawyers have very extensive experience in customer-initiated cases against registered broker-dealers and their employees.
Recently, the firm has concentrated its efforts on pursuing worthy claimants’ cases, whether to settlement or hearing. Typically, these cases involve claims for unsuitable recommendations of securities, churning and excessive trading, failure to adhere to a written investment plan, unauthorized trading, and other forms of fraud or breach of fiduciary duty.
Other FINRA Proceedings
We also regularly represent brokers against whom claims have been lodged by their former employers. These claims run the gamut, from allegations of fraud and self-dealing to claims for non-payment on promissory notes. We have also represented brokers on informal inquiries, formal investigations and disciplinary actions filed by FINRA.