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
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