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Securities Litigation & Arbitration

The growth of the securities market and the complex nature of securities law require attorneys that are experienced in Securities Litigation and Arbitration. Faced with regulatory pressures and an increasingly litigious investor base, securities firms and brokers are recognizing the role seasoned counsel plays in reducing risk and protecting their legal interests.

Schuyler, Roche & Crisham’s Securities Litigation and Arbitration team is comprised of outstanding litigators with successful track records in bench and jury trial proceedings (including class actions and other securities claims), FINRA arbitration proceedings and representation before regulatory bodies. Many of our litigation shareholders participate in our Securities Litigation and Arbitration practice, ensuring that our clients receive personal attention from the most experienced attorneys in the field. When appropriate, our litigators are supported by Schuyler, Roche & Crisham attorneys specializing in complementary disciplines such as commercial transactions, public accountancy and employment counseling.

As a recognized leader in Securities Litigation and Arbitration, Schuyler, Roche & Crisham actively participates in advancing this area of law. Two of our attorneys, Michael Roche and James Komie, currently serve on the Board of Editors of leading industry publications, including the Securities Arbitration Commentator Securities Litigation Commentator.

The Schuyler, Roche & Crisham Securities Litigation and Arbitration team regularly handles:

  • The arbitration or defense of actions initiated by customers, former employees, competitors or other interests, including securities class action litigation.
  • Appearances before FINRA arbitration panels and other self-regulatory organizations.
    Litigation relating to the movement of securities professionals between firms, including injunctive actions and raiding claims.
  • Defense against sales-practice claims, including unsuitable investment recommendations, unauthorized transactions, market manipulation, and churning.
  • The representation of clients facing inquiries, investigations or enforcement actions launched by the SEC, FINRA, and other federal and state regulators.

In addition to representing our clients in courtrooms and other litigation arenas, we assist our clients in risk assessment and management, providing further protection from securities-related threats such as future litigation and regulatory concerns.

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