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