Securities Litigation and Arbitration

Securities Litigation and Arbitration

The law firm of Starr, Gern, Davison & Rubin, P.C., represents clients in securities arbitration and litigation. Our clients include broker/dealer firms, registered investment advisors, individual brokers, and retail and institutional investors. We also represent brokers in investigations conducted by the Securities and Exchange Commission (SEC) and the New Jersey Bureau of Securities.

Our lawyers are experienced in defending and prosecuting all aspects of securities arbitration, including suitability, churning, misrepresentation, margin calls and manipulation, as well as employment-related disputes between firms and brokers.

The firm's attorneys assist clients with pre-arbitration demands and represent them in arbitrations and mediations conducted by the National Association of Securities Dealers (NASD), now merged with the Financial Industry Regulatory Authority (FINRA), as well as the New York Stock Exchange (NYSE), and other regulatory bodies governing the securities industry.

Examples of Securities Matters Handled by SGD&R

Our attorneys also represent customer/investors and broker/dealers in:

• Litigation, including shareholder derivative actions, fraud defense, and director and officer actions
• Enforcement, including state administrative actions, blue-sky proceedings and criminal investigations

One law firm member, Ira M. Starr, has been frequently selected as an NASD arbitrator. In this capacity he has frequently served as the chairperson of the arbitrator panel in arbitrations throughout the country.

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