Securities Law

Our securities law practitioners offer litigation, arbitration and risk-management services in the following areas: compliance and regulation matters affecting broker-dealers and registered investment advisors; defensive representation in securities regulatory investigations and enforcement proceedings; representation of broker-dealers, investment advisors, registered representatives, issuers, investment funds and investors in all forms of securities industry disputes; litigation of federal and state securities law violations; proceedings to compel arbitration and stay arbitration and to confirm and vacate arbitration awards; representation of firms and individuals in raiding and recruitment disputes; securities offering disputes; investment banking disputes; and merger/acquisition disputes.

Contact Attorneys who Practice in this Area:

Gerald B. Kline