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NASD, NYSE and Other Securities
Arbitrations
By virtue of both contracts between customers and their brokerage firms,
and judicial interpretations, virtually all disputes between customers
and their brokers and brokerage firms must be resolved through arbitration
before the NASD, NYSE, NFA, AAA or one of the other, self-regulatory
organizations that govern the securities industry.
The Firm regularly represents public investors (including individuals,
trusts, hedge funds and other institutions) in claims against their brokers
and brokerage firms involving securities fraud ; unsuitability; churning;
failure to execute and a myriad of other disputes that arise between
the customer and the brokerage firm. The Firm also represents a variety
of brokerage firms and registered persons in defending themselves against
similar claims brought against them.
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