The goal of this new blog is to inform, educate, and engage on legal issues impacting the financial services industry with a particular focus on securities, financial industry, and fiduciary litigation and arbitration in Maine, Massachusetts, and New Hampshire.
We are lawyers who handle securities industry and stockbroker disputes with customers, disputes with insurers and insurance agents over sales and other practices, disputes with registered investment advisors, directors and officers liability, trust and fiduciary disputes, and financial services litigation and arbitration. We practice in state and federal trial court, state and federal appeals courts, and in arbitration. We have arbitrated before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), and other forums.
We also have regulatory defense experience in connection with investigations and enforcement actions before agencies involved in securities and insurance regulation throughout the region.
Please comment, ask questions, and contact us. Welcome!
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