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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.

Defended a securities broker-dealer in a FINRA arbitration case brought by customers alleging faulty investment advice. All parties agreed to a full and final voluntary settlement.

Successfully defended broker-dealers in FINRA enforcement actions.

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

Lead trial counsel in a FINRA arbitration involving claims of raiding and unfair competition for a national broker-dealer firm. Secured a significant multimillion-dollar award for the client after a two-week arbitration hearing.

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 broker-dealer client in a multiyear FINRA enforcement investigation involving a failed Delaware Statutory Trust (DST) and significant investor loss. Obtained termination of the matter with no enforcement action.

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