Lawrence Kamin’s attorneys have achieved notable success advising and representing broker-dealers, registered investment advisers, clearing firms, proprietary trading firms, and other financial professionals in industry disputes and disputes involving the purchase and sale of securities or the rendering of investment advice.
Our litigators have successfully defended claims brought by retail customers in civil court suits and in FINRA arbitration. Effective representation frequently requires experience as well as keen intuition paired with a creative approach to uncover case factors that can easily be missed. When defending securities arbitrations, we strive not only to understand the facts of a given case, but to learn the details of our client’s operations and procedures. We examine a claimant’s factual and legal assertions and theories of recovery, conduct targeted discovery to candidly analyze risk of liability and loss, and realistically advise clients on strategies and alternative resolutions. The disciplined approach Lawrence Kamin attorneys employ for customer disputes has resulted in remarkable success for our clients.
Moreover, our extensive knowledge of federal and state securities laws and regulations, as well as FINRA and exchange rules, and current issues in compliance and supervision enables us to assist clients in designing effective compliance programs that help them avoid disputes or regulatory investigations. That same experience has aided us in representing broker-dealers, registered investment advisers, and other institutions and financial professionals in investigations and enforcement proceedings initiated by the SEC, state securities or insurance regulators, FINRA, and various exchanges.