Representation of Brokers in Securities Disputes

We represent brokers in arbitration proceedings before the NYSE and MSRB and handle securities disputes on behalf of brokers in state and federal courts. As part of our representation, we defend brokers against a wide variety of claims, including claims for fraud, churning, lack of suitability, market manipulation and unauthorized trading. Several of our attorneys have served as arbitrators in securities arbitrations before the NYSE and AAA. In addition, SGR represents brokerage firms, in their capacity as co-managers and syndicate members, in several class action lawsuits. We have served as lead counsel for the syndicate-member defendants in a class action lawsuit arising from the largest non-rated bond default in U.S. history. Our securities litigators have experience with an array of investments, including limited partnership syndications, stocks, bonds, options, and commodities.

We represent brokerage firms in industry-related securities disputes, including claims by salesmen for additional compensation, disputes between traders over the terms of a trade and the allocation of co-manager fees in underwritings.

We also represent brokers in a variety of regulatory matters. For instance, we recently represented a branch manager in a revocation proceeding brought by the State of Georgia after concluding its most extensive securities investigation to date. We represent various brokers and principals in NASD District Business Conduct Committee proceedings and represent principals in administrative actions by the SEC.

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