Kauff Laton Miller LLP
Securities Arbitration and Regulatory Matters
Securities Arbitration Practice:
The firm represents brokerage firms and associated persons in arbitrations before FINRA. We represent clients in matters involving allegations of misrepresentation, fraud, unsuitability, churning, conflicts of interests, selling away, improper mutual fund sales practices, and fraud in underwriting. While we have extensive experience in FINRA arbitrations, we also will mediate or negotiate matters when appropriate.
Securities Regulatory Practice:
We represent firms and associated persons in connection with regulatory exams, inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority ("FINRA"), state regulators, and state attorneys general. We help firms and individuals respond to subpoenas and assist in document productions. We also advise our clients on internal policies and procedures designed to minimize customer disputes and regulatory scrutiny.
950 Third Avenue ■ Floor 15 ■ New York, NY 10022 ■ 212-906-3444 ■ info@klmllp.com