Resolving Financial Services Matters Nationwide Through Arbitration and Litigation
Handling financial services disputes requires counsel with a significant understanding of the industry, the laws, rules and regulations that impact our clients, and the forums in which disputes are adjudicated. At Lewitas Hyman, our attorneys’ unparalleled litigation experience comes from leveraging their industry-specific knowledge developed from working at firms such as Morgan Stanley, UBS Financial Services and EVEREN Securities, serving as outside counsel for some of the world’s largest law firms, and through prior affiliations with the SEC.
Our clients include broker-dealers, registered representatives, investment advisors, banks, hedge funds and insurance companies. We have handled hundreds of arbitrations before the Financial Industry Regulatory Authority (FINRA), the Chicago Board Options Exchange (CBOE), the Chicago Board of Trade (CBOT), JAMS, the American Arbitration Association (AAA) and other self-regulatory organizations nationwide. We have also appeared in courts throughout the United States in various types of securities-related matters.
The litigation/arbitration matters we typically handle include:
- Investor claims relating to allegations of unsuitability, churning, fraud, misrepresentation, failure to supervise, unauthorized trading, overconcentration, theft, breach of fiduciary and other duties, and other forms of alleged misconduct.
- Employment claims relating to allegations of breach of contract, Form U4/U5 defamation, recruiting misrepresentations, wrongful termination, constructive discharge and discrimination.
- Protocol and non-protocol advisor’s transition matters such as raiding, non-competes, non-solicits, improper use of confidential information, and violations of other post-employment obligations.
- Promissory and forgivable note matters.
- Expungement claims.