Stockbrokers/Financial Industry Regulatory Authority (FINRA)

Stockbrokers and financial advisors face considerable risks performing their jobs. When a dispute occurs with an investor or a regulatory authority, it is important to turn to litigators with experience. Our team focuses on representing clients in securities and FINRA arbitrations nationwide. Our securities litigation defense attorneys have worked with banks, broker-dealers, and insurance companies in FINRA arbitrations involving securities-related claims, including allegations of sales practice violations, such as unsuitable investment recommendations, misrepresentation, negligent supervision, churning, breach of fiduciary duty, and breach of contract. We have also represented brokers and advisors in regulatory investigations regarding registration matters and other allegedly unlawful conduct.

Our team has an in-depth understanding of the applicable regulations and a knowledge of how to navigate the process of arbitration and regulatory inquiries — all focused on helping you minimize the impact of regulatory enforcement and customer complaints. At Goldberg Segalla, we:

  • Provide legal counsel during regulatory inquiries
  • Defend clients who are under investigation for regulatory matters
  • Guide clients through the arbitration process, or when possible, use alternative dispute resolution methods or obtain private settlements of claims
  • Understand and assess evolving FINRA rules, regulations, and procedures
  • Realize the effects of securities litigation on your business