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Securities Arbitration & Regulation

Faruqi & Faruqi, LLP has extensive experience representing clients throughout the securities industry. The firm is well-versed in the issues facing both investors and financial service professionals. Faruqi & Faruqi represents investors nationwide in disputes to recover losses from financial institutions stemming from, but not limited to: negligence; unsuitable investment advice; securities fraud; churning; unauthorized trading; breach of fiduciary duty; breach of contract and other forms of professional misconduct.

Faruqi & Faruqi also represents financial service professionals nationwide in arbitration, litigation, compliance and regulatory matters. Typical matters include, but are not limited to: forgivable loan collection disputes; FINRA, SEC and state registration and licensing issues; employment actions stemming from damaging Form U-5 filings; wrongful termination and deferred compensation; and other related issues. The firm also provides full-service assistance to financial advisors transitioning between firms to ensure smooth and compliant transitions, as well as to reduce the risk of possible future litigation.