Securities/ Broker-Dealer

GLANKLER BROWN HAS STRONG EXPERTISE IN BROKER-DEALER REGULATION, SECURITIES ARBITRATION, AND SECURITIES AND FINANCIAL MARKETS LITIGATION.

The firm has successfully represented broker-dealers and investors in complex FINRA arbitrations involving exposure for claims arising out of trading losses related to churning, unsuitability, unauthorized trading, failure to supervise, marketing and sale of proprietary products and related state and federal claims as they affect equities, debts, and derivative products. Glankler Brown is also proud to be one of the few law firms in Memphis, Tennessee with attorneys that are approved FINRA arbitrators.

Attorneys in Glankler Brown’s securities and broker-dealer practice group routinely assist and consult small and large brokerage firms and investment advisors in responding to regulatory inquiries from the Securities Exchange Commission and/or FINRA. The firm’s attorneys work closely with in-house compliance officers and in-house counsel for brokerage firms, responding to audits or cycle examinations, including inquires related to Financial Operations and Supervisory Procedures.

Glankler Brown has also represented numerous broker-dealers, account executives and investment advisors in enforcement proceedings before the Securities Exchange Commission and FINRA, in addition to representing parties in enforcement proceedings brought by state regulatory agencies in Tennessee, Mississippi and the entire Mid-South area.

The firm also represents broker-dealers, account executives and investment advisors in disputes related to forgivable loans or forgivable promissory notes, non-competition agreements and non-solicitation agreements. Glankler Brown’s experience extends to the prosecution and defense of claims by and against registered representatives, including U-5 defamation, wrongful termination, retaliatory termination and discrimination before FINRA arbitration panels and state and federal courts.

« BACK TO PRACTICE AREAS