Broker-Dealer Litigation and Arbitration

Bressler is recognized nationwide as a leader in the representation of financial institutions in litigation and arbitration proceedings.  We represent broker-dealers, investment banks, investment advisors and trust companies in the defense of claims alleging violations of federal and state securities laws, as well as common law claims.  In many of these matters, we have been at the forefront of issues that are critical to the financial services industry.

Our team is comprised of lawyers who have deep experience in this highly specific area of the law — and we have successfully concluded thousands of litigation matters for our clients.  We work closely with our clients to achieve cost effective solutions before trial if possible.  If a reasonable resolution can not be reached, our seasoned trial lawyers try the case.  The fact that claimants’ lawyers know that we will try cases when necessary and that we are very good at it, helps us to reach favorable settlements in many cases.   

We have defended a wide range of claims, including complex securities cases and class actions in both federal and state courts, as well as arbitration cases involving transactions in equities, bonds, derivatives, futures, alternative investments, insurance products and mutual funds.  These representations have encompassed individual and multi-party customer claims covering all aspects of sales practices, supervision, registration and fiduciary issues.

Our extensive experience includes the representation of clients across the country in court proceedings, as well as in FINRA, AAA, CBOE and NFA arbitrations.  Many of our lawyers are admitted to practice in multiple jurisdictions and have appeared in state courts at the trial and appellate levels, as well as in federal district and appellate courts.  We attribute our success in representing a large cross section of financial institutions for multiple decades, to our ability to muster resources that match the nature of the litigation with a team that will provide the most cost effective  and successful outcome.  

Because of our in-depth knowledge of both the law and the nature of our clients’ business and concerns, we are able to provide the highest level of service and performance.  This approach has resulted in long term representation of our clients, some for more than three decades.