The Firm has successfully defeated the SEC in federal court actions across the country where it sought to freeze assets, seek an injunction and appoint a receiver over individuals, public corporations, members of boards of directors and senior officers of those public companies.
The Firm has successfully battled numerous disputes by or on behalf of investment banks, venture capital firms and hedge funds.
The Firm has arbitrated hundreds of matters throughout the courts on behalf of brokerage firms, investment bankers and private equity firms and has ever successfully been obtaining legal fees on several occasions in actions brought sought by investors against financial institutions.
The Firm has successfully won or settled significant claims against major brokerage houses on behalf of customers.
The Firm has been extremely successful in its representation of brokerage firms in litigations against former officers/employees for employment related issues.
On behalf of brokerage firms, the Firm has obtained numerous restraining orders, injunctions and significant monetary damages in actions against former brokers.
Successfully defended enforcement actions brought by self-regulatory organizations against broker-dealers and registered representatives. Have also successfuly had brokers re-admitted to the business after being statutorily disqualified under the rules of the NASD, NYSE and SEC.
