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

Most client/broker disputes are controlled by the provisions of an arbitration agreement commonly included in client account opening 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-regulating 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.

That combined understanding of the market and the law makes us very effective at handling regulatory investigations and responses.  Our firm has successfully defended clients facing regulatory sanctions from FINRA (and its predecessors, the NASD and the New York Stock Exchange), the Securities and Exchange Commission, the Commodities Futures and Trading Commission and multiple state securities regulators.