Duckor Metzger & Wynne, APLC’s trial attorneys handle a wide variety of disputes before FINRA (Financial Industry Regulatory Authority), in arbitrations and in state and federal courts. DMW routinely represents registered investment advisors (RIAs) and broker-dealers in litigation.
DMW has extensive experience in matters involving the following issues:
- Suitability and Trading Practices
- Trade Secret Misappropriation and Protection (including customer lists)
- The Protocol for Broker Recruiting
- Broker-Dealer and RIA Compliance
- Privacy Regulations
- Class Actions
- Whistleblower Claims
- Forgivable Promissory Notes
- Expungement and U4-Related Litigation
Relying on our wealth of Employment & Labor Law experience, DMW also handles employment disputes involving RIAs and broker-dealers.