Services

Securities Litigation and FINRA Arbitrations

Complex securities and commodities litigation cases can put millions of dollars on the line. Scarinci Hollenbeck, LLC offers its clients a deep knowledge of complex securities litigation cases. We have experience in a wide range of financial litigation, including civil litigation, SEC regulatory litigation, enforcement matters, self-regulatory litigation, and securities class action cases.

Our attorneys represent both plaintiffs and defendants in financial litigation. We deal with cases in both judicial and regulatory proceedings. If necessary, our lawyers are prepared to advocate zealously for our clients at trial, with a strategy specifically tailored to the needs of each client. 

FINRA EXPUNGEMENTS

As a broker, your business is defined by your reputation. If a customer files a false claim against you, it will result in negative information included on your publicly available BrokerCheck report, which can cast a shadow on you. Fortunately, our expungement attorneys can help you remove false and inaccurate complaints from your public brokerage record in accordance with FINRA Rule 2080.

Scarinci Hollenbeck, LLC’s expungement lawyers lead the pack in successful expungement petitions with FINRA. Our familiarity with this type of situation will make the process of removing complaints from your BrokerCheck report more efficient and effective. We strive to ensure that your brokerage career and reputation won’t be negatively affected by baseless customer complaints.

Scarinci Hollenbeck, LLC has also successfully filed expungement petitions to remove false information on BrokerCheck reports concerning a broker’s termination from a broker-dealer on the firm’s Form U5 (Uniform Termination Notice for Securities Industry Registration). Our team regularly provides our broker-dealer and investment advisor clients with U5 assistance and review.

FINRA ARBITRATIONS

The seasoned FINRA arbitration attorneys at Scarinci Hollenbeck, LLC have extensive experience representing firms and brokers in securities arbitration matters before FINRA. Our FINRA arbitration lawyers offer a deep understanding of Wall Street and extensive experience in complex and sophisticated securities matters. Many of our securities arbitration attorneys have either held a securities license or have worked with financial entities, organizations, financial services professionals, and financial regulators including the SEC, FINRA, New York Stock Exchange, and the American Stock Exchange.

Typical allegations of wrongdoing we defend against in FINRA arbitrations are:

  • Misrepresentation
  • Insurance fraud
  • Elder abuse
  • Suitability
  • Negligence
  • Errors and omissions (E&O)
  • Breach of fiduciary duty
  • Failure to supervise
  • Churning