Practice Areas
- Securities Arbitration
- FINRA Arbitration
- Securities Mediation
- Stockbroker Misconduct
- Sales Practice Violations
- Excessive Trading / Churning
- What is Excessive Trading or Churning?
- Unauthorized Trading
- Securities Violation: Unauthorized Transactions
- Concentration
- Margin Calls
- Mutual Funds
- Alternative Investments
- Annuity and Insurance Products
- Failure to Supervise
- Conflicts of Interest
- Excessive Markups / Markdowns
- Excessive Muni Bond Markups / Markdowns
- Private Placements
- Private Securities Transactions / Selling Away
- Florida Elder Fraud
- FINRA Regulatory Program
- Investment Fraud and Securities Fraud
- Options Trading Strategies
- Northstar Financial Services (Bermuda) Losses
- SEC Best Interest Rule