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W. Preston Battle IV - Associate
Jonathan Cole - Shareholder
Jonathan C. Hancock - Shareholder
Meg Hancock - Associate
Paul J. Osowski - Shareholder
Lori H. Patterson - Shareholder
Emma J. Redden - Shareholder
Nicole Berkowitz Riccio - Shareholder
Kristine L. Roberts - Shareholder
Frederick Salvo - Shareholder



Represented a brokerage firm in a Financial Industry Regulatory Authority (FINRA) arbitration action against its former employee for over $100,000 owed under his employment agreement. Obtained an award for the full amount, plus interest, and a denial of all the employee's counterclaims.

Successfully defended broker-dealers in FINRA enforcement actions.

Frequent defense of broker-dealers and their registered representatives in FINRA enforcement actions.

Negotiated favorable settlement for regional wealth management firm against alleged FINRA rule violations involving a former registered representative.

Obtained injunctive relief and favorable settlement for broker-dealer firm in trade secret misappropriation and breach of contract case pending before FINRA.

Represented a FINRA member firm and associated person in arbitration involving claims of aiding and abetting breaches of fiduciary duty and alleged FINRA and securities violations, resulting in a favorable settlement.

Represented a public company in connection with an inquiry by FINRA into unusual patterns of trading in advance of a significant public announcement.

Represented a United States Securities and Exchange Commission (SEC) Registered Investment Advisor (RIA) with regard to claims by client under Investment Management Agreements and Subscription Agreement related to investments in secured subordinated promissory notes issued by an investment finance company that was subsequently placed into receivership. Very favorable settlement reached before Financial Industry Regulatory Authority (FINRA), or American Arbitration Association proceedings commenced.

Represented broker-dealer firm and its executive officers in FINRA arbitration involving $10 million in claims for alleged breach of joint venture agreement, misrepresentation, and negligence in connection with firm's purchase and operation of mortgage-backed trading division. After two weeks of evidentiary hearings, arbitration panel issued award dismissing all claims against our clients.

Represented client in the financial services industry through FINRA whistleblower and breach of contract counterclaim arbitration hearing and secured complete finding in client's favor on all claims asserted by a former employee, inducing award of counterclaim monetary judgment in client's favor and attorney's fee award.

Represented client in the financial services industry through the Financial Industry Regulatory Authority (FINRA) gender discrimination and harassment arbitration hearing and secured complete finding in the client's favor on all claims asserted by a former employee.

Represented multiple clients in FINRA investigations and enforcement actions.

Successfully defended broker-dealer and registered representatives in FINRA arbitration in case involving the sale of alternative real estate investments.

Defended broker-dealer and registered representatives in FINRA arbitrations initiated by individual customers alleging securities fraud, misrepresentation, and breach of fiduciary duty in connection with oil & gas investments and master limited partnerships.

Won an award favoring a broker-dealer client in a FINRA arbitration against an institutional investor seeking more than $3 million in damages for alleged fraud and unsuitable investment recommendations.

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May 19, 2009

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