SGD&R is a leader in securities arbitration. We represent broker/dealer firms, brokers, and customers/investors in resolving pre-arbitration demands and in arbitration and mediation conducted by the National Association of Securities Dealers ("NASD"), the New York Stock Exchange ("NYSE"), and other self-regulatory bodies. We 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.
One firm member frequently is selected as an NASD arbitrator, and as the chairperson of the arbitrator panel, in arbitrations throughout the country.
The firm also represent brokers in investigations by the SEC, NYSE, New Jersey Bureau of Securities, and other agencies. |
