SECURITIES / ARBITRATION

Hundreds of Successful Resolutions


The firm has an active and sophisticated securities litigation and arbitration practice, representing major Wall Street and regional financial institutions and their brokers in investment banking and retail brokerage disputes throughout the country as well as in regulatory proceedings before the SEC, FINRA, NYSE and the State of Texas and employment matters. We enjoy taking on difficult liability cases on short notice in Texas and other states and, in certain select matters involving significant damages, we represent investors in bad investment disputes. Besides Texas, we have been retained to try arbitrations in California, Florida, Hawaii, Kansas, Nebraska, Ohio, Oklahoma, Washington, and Washington, D.C. The firm also represents shareholders, officers and directors in corporate mismanagement and fraudulent conveyance controversies.

Our experience includes:

  • Handling more than 350 brokerage litigation and arbitration cases involving investment products of all kinds, including exchange listed and OTC stocks, investment grade and high yield corporate and government bonds, stock and index options, mortgage-backed securities and derivatives, limited partnerships, commodities, auction rate securities, mutual funds, annuities and managed money portfolios
  • Retained to defend arbitrations in California,Washington, D.C., Florida, Oklahoma, Washington, Hawaii, Ohio, Kansas, and Nebraska
  • Successfully defending brokers in FINRA, SEC and state license and regulatory proceedings
  • Litigating in more than 50 matters involving employment issues, such as trade secrets and covenants-not-to-compete, U-5 and U-4 defamation and discrimination
  • Argument of securities cases before the Fifth Circuit Court of Appeals and Texas Supreme Court
  • Negotiating employment agreements in the brokerage industry
  • Handled cases involving professional liability coverage
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