Arbitration

FINRA Arbitration

Most disputes between investors and brokerage firms are resolved through FINRA arbitration. We provide aggressive representation throughout the entire process.

  • Unsuitable Investment Advice
  • Churning (Excessive Trading)
  • Unauthorized Trading
  • Failure to Supervise Claims
Fraud

Investment Fraud

Protecting victims of sophisticated financial scams and material misrepresentations that lead to significant capital loss.

  • Ponzi & Pyramid Schemes
  • Pump and Dump Operations
  • Private Placement Fraud
  • EB-5 Investment Scams
Corporate

Shareholder Disputes

Representing majority and minority shareholders in conflicts regarding corporate governance, transparency, and fiduciary duties.

  • Derivative Actions
  • Books and Records Inspections
  • Breach of Fiduciary Duty
  • Partnership Dissolutions
Regulatory

SEC Investigations

Defending individuals and entities facing scrutiny from the Securities and Exchange Commission or state regulatory bodies.

  • Wells Notice Responses
  • Formal Testimony Defense
  • Compliance Audits
  • White Collar Defense

Not sure which area fits your case?

Contact our Illinois office for a confidential case evaluation.

Call (312) 555-0199 Message an Attorney