SECURITIES AND BROKER-DEALER DEFENSE


Attorneys at KZ have collectively more than 80 years experience representing registered representatives and broker-dealers in state and federal court litigation and arbitration (both customer and industry disputes), as well as defending licensed individuals in investigations administered and/or conducted by state regulators, FINRA and the SEC.

Our knowledgeable and accomplished attorneys also have substantial prior experience working in the securities industry in non-legal capacities including serving as a former enforcement investigator for the NYSE and compliance officer for various large broker-dealers, handling enforcement matters at the SEC and working for broker-dealers as registered representatives and certified financial planners. Our legal experience and background in the industry enable us to advise clients with respect to changes in their procedures, policies and forms in order to prevent and/or limit future legal disputes.

We have extensive experience defending numerous small and large broker-dealers, major financial institutions, insurance companies and their subsidiaries and agents on virtually all types of disputes related to the securities industry including, but not limited to, claims of unsuitable and unauthorized trading, misrepresentation and fraud, misappropriation, churning, “selling away,” negligent supervision, net capital violations, books and records violations and registration issues.