Angela A. Turiano
Partner
212-784-6915 aturiano@sh-law.com
Securities Litigation & FINRA Arbitrations
Navigating the complexities of securities litigation and FINRA arbitration requires seasoned legal experience. At Scarinci Hollenbeck, LLC, we provide comprehensive legal services in these areas, ensuring our clients receive the highest level of representation. Our team of experienced securities attorneys and SEC lawyers is dedicated to defending our client’s interests in the challenging landscape of securities disputes and regulatory investigations.
Key Contacts
Securities Litigation & FINRA Arbitrations
Overview
NYC FINRA Defense Lawyers
Securities litigation and FINRA arbitration involve intricate legal and regulatory challenges that necessitate a deep understanding of the financial markets and securities laws. Our securities attorneys at Scarinci Hollenbeck, LLC have extensive experience in handling a wide range of securities disputes, including:
Securities Fraud
Securities fraud encompasses a variety of illicit activities, such as misrepresentation, insider trading, and market manipulation, that can significantly impact the integrity of financial markets. Our SEC lawyers are adept at navigating these high-stakes cases, offering robust defense and strategic counsel to our clients. Our experience includes:
- Misrepresentation: Defending clients accused of providing false or misleading information to investors, including fraudulent financial statements and omissions of material facts.
- Insider Trading: Representing entities facing allegations of trading based on non-public, material information with comprehensive defense strategies.
- Market Manipulation: Handling cases involving schemes to artificially inflate or deflate stock prices, including pump-and-dump schemes and spoofing.
Regulatory Investigations
Regulatory investigations by bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) can be daunting and complex. Our team at Scarinci Hollenbeck, LLC provides the right assistance in responding to these investigations, offering strategic counsel to mitigate risks and protect our client’s interests. Our services include:
- Initial Response: Helping clients prepare timely and accurate responses to regulatory inquiries, ensuring compliance with all procedural requirements.
- Document Production: Managing the collection, review, and production of documents requested by regulatory bodies.
- Interviews and Testimony: Preparing clients for interviews and testimony before regulatory bodies.
- Settlement Negotiations: Negotiating settlements with regulatory bodies to resolve investigations favorably and minimize potential penalties.
Broker-Dealer Disputes
Broker-dealer disputes often involve complex allegations such as unsuitable investments, breach of fiduciary duty, and churning. Our attorneys at Scarinci Hollenbeck, LLC have a strong track record of achieving favorable outcomes in these cases, defending broker-dealers against customer claims and regulatory actions. Our services include:
- Suitability Claims: Defending broker-dealers against claims of recommending unsuitable investments to their clients.
- Breach of Fiduciary Duty: Representing broker-dealers in cases involving allegations of breach of fiduciary duty.
- Churning: Defending against claims of excessive trading in clients’ accounts for the purpose of generating commissions.
Shareholder Litigation
Shareholder litigation encompasses a variety of disputes, including shareholder derivative actions, class actions, and other corporate governance issues. Our securities attorneys at Scarinci Hollenbeck, LLC are skilled in defending against allegations of breach of fiduciary duty and other shareholder claims. Our services include:
- Derivative Actions: Representing companies and their officers and directors in shareholder derivative actions.
- Class Actions: Defending against shareholder class actions involving allegations of securities fraud and misrepresentation.
- Corporate Governance: Advising clients on corporate governance matters to prevent disputes and ensure compliance with regulatory requirements.
Whistleblower Claims
Whistleblower claims related to securities law violations are protected under federal and state laws. Our attorneys at Scarinci Hollenbeck, LLC provide guidance on the legal rights of whistleblowers and represent them in related legal proceedings. Our services include:
- Whistleblower Protections: Ensuring that whistleblowers are protected under the Dodd-Frank Act and other relevant laws.
- Reporting Violations: Assisting whistleblowers in reporting securities law violations to regulatory bodies such as the SEC and FINRA.
- Legal Representation: Representing whistleblowers in any subsequent legal proceedings, including retaliation claims.
Real Estate Securities
Real estate securities, including real estate investment trusts (REITs) and other real estate investments, present unique legal challenges. Our team at Scarinci Hollenbeck, LLC is experienced in handling these complexities and provides comprehensive legal advice and defense-related to real estate securities. Our services include:
- Regulatory Compliance: Advising clients on compliance with SEC regulations and other applicable laws governing real estate securities.
- Litigation Defense: Defending clients against litigation involving real estate securities.
- Structuring Transactions: Assisting clients in structuring real estate securities transactions.
Defense of Broker-Dealers
Our team at Scarinci Hollenbeck, LLC has a proven track record of defending broker-dealers in arbitration and litigation. Our services include:
- Regulatory Defense: Defending broker-dealers against enforcement actions by regulatory bodies such as the SEC, FINRA, and state securities regulators.
- Customer Disputes: Representing broker-dealers in disputes with customers.
- Compliance Programs: Advising broker-dealers on the development and implementation of compliance programs.
Investor Claims
We represent investors in claims against broker-dealers and investment advisors for misconduct, including unauthorized trading, unsuitable investment recommendations, and fraud. Our attorneys at Scarinci Hollenbeck, LLC are committed to protecting investors’ rights and seeking compensation for their losses. Our services include:
- Unauthorized Trading: Representing investors in claims involving unauthorized trading in their accounts.
- Unsuitable Recommendations: Advocating for investors who received unsuitable investment recommendations.
- Fraud and Misrepresentation: Pursuing claims of fraud and misrepresentation against brokers and advisors.
Corporate Governance
At Scarinci Hollenbeck, LLC, we provide counsel on corporate governance matters, ensuring that our clients adhere to best practices and regulatory requirements. Our experience includes advising on fiduciary duties, compliance programs, and internal investigations. Our services include:
- Board Oversight: Advising boards of directors on their oversight responsibilities.
- Fiduciary Duties: Providing guidance on the fiduciary duties of directors and officers.
- Compliance Programs: Assisting clients in developing and implementing comprehensive compliance programs.
- Internal Investigations: Conducting internal investigations into potential corporate misconduct.
Regulatory Compliance
Our attorneys at Scarinci Hollenbeck, LLC offer guidance on regulatory compliance, helping clients navigate the complex web of securities laws and regulations. We assist with the development and implementation of compliance programs tailored to our clients’ specific needs. Our services include:
- Regulatory Audits: Preparing clients for regulatory audits and examinations by the SEC, FINRA, and other regulatory bodies.
- Compliance Training: Providing training programs for employees and management on regulatory requirements and best practices.
- Policy Development: Assisting clients in developing and updating compliance policies and procedures.
- Risk Management: Helping clients identify and manage regulatory risks related to their business operations.
Why Choose Us?
At Scarinci Hollenbeck, LLC, we pride ourselves on delivering exceptional legal services in securities litigation and FINRA arbitration. Our team of securities attorneys and SEC lawyers offers a unique combination of legal experience, industry knowledge, and a commitment to client success. Here are a few reasons to choose us:
- Experienced Team: Our securities attorneys have decades of combined experience in securities litigation and regulatory defense.
- Client-Centered Approach: We understand that each client’s situation is unique. Our attorneys work closely with clients to develop tailored legal strategies.
- Proven Track Record: We have a history of achieving favorable outcomes for our clients in securities litigation and FINRA arbitration.
- Innovative Solutions: In the rapidly evolving securities landscape, we provide innovative solutions to the most challenging legal problems.
- Commitment to Excellence: We are dedicated to providing the highest quality legal representation.
- Strategic Partnerships: We have established strategic partnerships with forensic accountants, investigators, and other experts to bolster our clients’ cases.
- Comprehensive Services: Our broad range of services ensures that we can meet all of our clients’ legal needs.
Contact Us
Navigating the complexities of securities litigation and FINRA arbitration requires experienced and knowledgeable legal counsel. At Scarinci Hollenbeck, LLC, our securities attorneys and SEC lawyers are dedicated to helping our clients achieve their legal and business objectives. With our locations in DC, Redbank, New York, and Little Falls, we are here to help you. Whether you are facing a regulatory investigation, a shareholder dispute, or an arbitration proceeding, our team is here to provide the legal advice and representation you need.
Contact Scarinci Hollenbeck, LLC today to learn more about our securities litigation and FINRA arbitration legal services. Our attorneys are ready to assist you in navigating this dynamic and challenging area of law, ensuring that your interests are protected and your goals are achieved.
FAQ about Securities Litigation & FINRA Arbitrations
FINRA stands for The Financial Industry Regulatory Authority. It is a self-regulatory agency that licenses and provides oversight for all active, registered broker-dealers and brokers in the United States. FINRA’s stated objective is to protect the interests of investors.
FINRA and the SEC work together to regulate the securities industry. FINRA is a self-regulatory agency that has jurisdiction only over firms and individuals registered with FINRA. The SEC is a government agency that conducts investigations and initiates lawsuits across the country for alleged violations of securities laws regardless of whether the company or individual is registered with FINRA. Together, FINRA and the SEC work together and share information in their respective pursuit of investor protection.
A license to sell and interact with securities is issued by FINRA, whether you are an individual or a firm. There are a series of licenses issued by FINRA which require an individual to take tests, which support the type of product they will become licensed to sell. On the firm side, a broker-dealer must register with FINRA and go through a membership process to be approved. Once registered with FINRA, individuals and firms are required to abide by FINRA’s rules and regulations.
BrokerCheck is FINRA’s free online tool that allows consumers to research the professional backgrounds of investment professionals, brokerage firms, and investment adviser firms. The information provided about brokerage firms and associated registered investment professionals comes from the Central Registration Depository (CRD®), which is the registration and licensing database for the U.S. securities industry. The information about investment adviser firms and representatives originates from the Securities and Exchange Commission’s Investment Adviser Registration Depository (IARD) database.
Once a FINRA arbitration panel renders an award, it is legally binding and final unless there is a court challenge. FINRA does not have an appeals process; however, a party can challenge an arbitration decision in court by filing a motion to vacate or request that the court set aside the award as void.
Whistleblower reports are anonymous. Regulators don’t share the source of their information with the subjects of their investigations. However, sometimes company management can “connect the dots,” discover a whistleblower’s identity, and punish them for bringing misconduct to the attention of regulatory agencies. This is illegal retaliation.
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Why Choose Us?
Dedicated attorneys
At Scarinci Hollenbeck, our attorneys are forward-thinking professionals dedicated to the ongoing enhancement of their legal expertise. They stay informed of legal developments, engage in professional bar associations, contribute to legislative initiatives, and actively engage in speaking opportunities—all to provide the highest quality service possible.
Strategic Counsel
In today's dynamic economy, businesses face complex challenges. We understand that these challenges require innovative, multi-faceted solutions. Through a collaborative, cross-practice approach, our attorneys leverage a wealth of experience across various legal disciplines to devise effective strategies tailored to meet our clients’ needs.
Proven Experience
For over 35 years, Scarinci Hollenbeck has offered comprehensive legal services to businesses both locally and globally. Our attorneys draw on extensive industry knowledge, representing clients in sectors such as real estate, entertainment, technology, and energy. We take pride in the successful outcomes we consistently achieve.
Client-First Focus
Our commitment to being a client-first law firm is rooted in open communication, meticulous attention to detail, and adaptability. We work closely with clients to ensure a transparent process, earning their trust through comprehensive guidance. This steadfast commitment is why clients continue to rely on us for their most complex legal challenges.
