Stock Brokers
Goldberg Segalla attorneys have represented broker-dealers and registered representatives in the defense of numerous securities-related claims. These allegations have included:
- Unsuitable investment recommendations
- Improper sales practices
- Negligent supervision
- Blue sky violations
- Churning
- Breach of fiduciary duty
- Breach of contract
Our experience includes representing clients in arbitrations before the National Association of Securities Dealers, now known as the Financial Industry Regulatory Authority (FINRA).