Securities Litigation and Arbitration

Leclair Korona Vahey Cole LLP’s securities litigation and arbitration practice involves representation of investors, investment professionals and investment firms in a broad range of civil and administrative disputes. Our familiarity with securities laws, SRO rules, and industry practices benefits clients involved in such matters. This specialized experience has assisted clients in the successful prosecution and defense of securities-related cases at trial and arbitration hearings, in addition to obtaining favorable settlements through mediation and direct negotiation.

Attorneys at Leclair Korona Vahey Cole regularly represent investors and investment firms in court and before AAA and SRO arbitration panels in cases involving individual and institutional investment losses. This experience includes cases involving the provisions of the Employee Retirement Income Security Act of 1974 (“ERISA”) and employment-related disputes between broker dealers and registered representatives. The firm’s attorneys also have experience in representing clients facing investigations by the Securities and Exchange Commission.