TTE’s attorney have decades of experience in all matters related to financial services litigation. We have represented broker-dealers in hundreds of arbitrations, state and federal court matters, and regulatory matters. Our clients include large national broker-dealers, advisory firms, hedge funds, and securities issuers. We have handled (and tried) customer-initiated arbitrations in FINRA, AAA, and state courts. Our representation includes but is not limited to allegations relating to investment product failures (resulting in dozens of arbitrations); due diligence; suitability, fraud, and in recent years significant matters involving allegations of theft and elder abuse. We have represented certain broker dealers in all litigation those firms have faced involving investment product failures- handling for several firms excess of dozens of arbitrations those firms have faced. We take pride in the fact that those firms trusted us with their most significant litigation matters. We know what how to handle such fact patters effectively and efficiently. Often these matters result in parallel regulatory matters initiated by FINRA and the SEC, and occasionally criminal prosecutors, and require a particular expertise as to how navigate potential risks firms in such matters. A brief review of our representative matters in this field reveals our breadth of experience.
