• Skip to main content
  • Skip to primary sidebar
DSMW

DMW

Legal Experience You Can Trust.

  • Home
  • Attorneys
  • Practice Areas
  • News & Publications
  • Careers
  • Make a Payment
  • About
  • Contact Us
About Careers Make a Payment (619) 209-3000
  • Home
  • Attorneys
  • Practice Areas
  • News & Publications
  • Careers
  • Make a Payment
  • About
  • Contact Us
Home » Practice Areas » Securities Litigation & Arbitration
Print page

Securities Litigation & Arbitration

Our securities trial attorneys handle a wide variety of securities disputes before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), state and federal courts, and other forums. We routinely represent registered investment advisors (RIAs), broker-dealers, and investors in active litigation and counseling contexts.

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 experience, DMW also handles employment disputes involving financial institutions, advisors, and employees.

Primary Sidebar

Attorneys

  • DSMW Attorney Headshot Scott L. Metzger
  • DSMW Attorney Headshot William P. Keith
  • DSMW Attorney Headshot Tony R. Skogen, Jr.

Duckor Metzger & Wynne,
A Professional Law Corporation
101 West Broadway, Suite 1700,
San Diego, CA 92101

Tel: (619) 209-3000 •
Fax: (619) 209-3043

Contact Us

© DMW •
Terms & Conditions •
Privacy Policy •
Accessibility •
Sitemap