Securities Arbitration & Disciplinary Matters

RLR represents investors as well as financial industry professionals, including broker-dealers, registered representatives, private equity and hedge funds in connection with securities litigation, arbitration and mediation. Lawyers at the firm handle matters involving fraud, misrepresentations, churning, unsuitable investments, insider trading, unauthorized mutual fund switching, breach of fiduciary duty and other allegations of wrongdoing by stockbrokers, financial planners, and others affiliated with the securities markets and industry. RLR also represents financial industry professionals in connection with formal and informal disciplinary proceedings before governmental and self-regulatory agencies, such as the SEC and FINRA.