There are few businesses that are more closely regulated than the purchase and sale of securities. Registered securities representatives and brokerage houses are subject to scrutiny by the Securities and Exchange Commission, the National Association of Securities Dealers, the various exchanges such as the New York Stock Exchange and the state securities regulators.

Carlile Patchen & Murphy has for many years practiced in this specialized arena and has dealt directly with all of the above mentioned entities. Our attorneys have counseled firms and individual brokers in matters related to licensing, registration and disciplinary inquiries.

In recent times, most client/broker disputes have been controlled by the provisions of an arbitration agreement commonly included in client account agreements. Securities arbitration, long thought to be less complicated and less expensive than civil trials, now has all the characteristics of complicated business litigation.

Our trial lawyers are highly skilled and experienced in practicing before the self regulatory organizations empowered to hear these matters. Our legal assistants have a thorough understanding of the complicated documentation required to present or defend a securities case, and our office is equipped with the latest computer technology necessary to effectively organize this material. With a detailed understanding of sophisticated trading products and strategies, our securities arbitration group enjoys an excellent reputation for producing positive results for our securities clients.