Securities Litigation and FINRA Arbitration

Wells Marble represents broker-dealers, individual brokers and their registered representatives in both industry and customer disputes. Our attorneys specialize in securities-related litigation in state/federal courts and before FINRA arbitration panels. We have considerable experience representing broker-dealers and individual brokers, and understand their institutional needs and concerns. Our services include:

• Suitability Claims Defense
• Churning Claims Defense
• Unauthorized Trading Claims Defense
• Failure to Supervise Claims Defense
• Misrepresentation and Omission Claims and Defense
• Negligence and Breach of Fiduciary Duty Claims Defense
• Breach of Management Agreement Claims Defense
• Misappropriation of Client Lists and Trade Secrets Claims