In today’s business climate, when a company can easily and quickly find itself facing securities-related litigation with regulatory bodies or clients, it is critically important to retain a law firm with the experience to swiftly defend its interests.
Middleton Reutlinger has been lead defense and plaintiff’s counsel in hundreds of cases that are before the Financial Industry Regulatory Authority (FINRA), a regulatory body of securities to which brokers and dealers submit for determination of any disputes arising out of broker/dealer relationships. FINRA has its own litigation rules and practices, and disputes are handled by FINRA arbitration panels, so it is necessary to have experienced counsel to practice before FINRA. Our attorneys have also practiced securities litigation in state and federal courts, the Securities and Exchange Commission (SEC), and before the American Arbitration Association. Middleton Reutlinger has extensive experience with complex investigations of securities related matters. Our firm includes a former SEC Division of Enforcement attorney who investigated a broad range of possible securities violations.
Our attorneys have handled numerous cases between customers and brokers/dealers and Investment Advisors, many involving churning or unsuitability claims, fraud, breach of fiduciary duty, and mismanagement, broker-dealer raiding and employment cases (such as those involving claims of wrongful termination, harassment and discrimination, defamation and theft), and enforcement or defense of restrictive employment agreements (i.e., non-competes, non-solicitation agreement, etc.), including for those Securities Firms who are members of the Protocol.