CONTACT US EXPERIENCED FINRA & Securities Litigation We have you Covered FINRA & Securities Litigation Attorneys Jeffrey J. Hines Partner Matthew D. Kohel Partner George S. Mahaffey Counsel Defend Your Company's Financial Well-Being When it comes to the future of your organization, there is nothing more important than its financial health. Our FINRA attorneys represent and defend your company and employees against claims filed with the Financial Industry Regulatory Authority, including securities-related investigations and inquiries. Who We Represent Our FINRA legal team represents broker-dealers, registered-investment advisors, and individual financial services professionals in investigations, examinations, inquiries, and litigation involving client claims and arbitration. We assist financial professionals in expunging client complaints from their respective records, and assist broker-dealers in matters involving employees and ex-employees. Examples of Litigation With our group of experienced FINRA litigators, you will be protected against claims involving: Securities and consumer fraud Punitive damage claims Alleged violations of state and federal securities laws Common law actions Alleged violations of FINRA rules and other securities strictures Professional Recognition Our FINRA practice group attorneys have frequently lectured on FINRA issues including the potential impact on the securities industry of new rules proposed by FINRA and the Securities and Exchange Commission. FINRA Litigation You Can Count On Trust in expert FINRA and securities attorneys to manage your legal matters with experience and authority. CONTACT US Copyright 2021 Goodell, DeVries, Leech & Dann, LLP Disclaimer | Privacy Policy | Site Map