FINRA Arbitration and Securities Litigation
At Law Offices Stuart L. Melnick, LLC, we represent clients, including both investors and brokers, in connection with a wide variety of FINRA arbitrations. We also represents clients in connection with the prosecution and defense of civil lawsuits alleging violations of the federal and state securities laws. We have additional experience representing clients in connection with class action lawsuits and derivative securities litigation.
Regulatory Investigations
At Law Offices Stuart L. Melnick, LLC, we represent broker dealer clients in SEC, FINRA and state-level regulatory investigations and annual exams. We also work with clients to respond to requests for information, Exit Conferences, on-the-record Interviews and negotiations of Acceptance, Waivers and Consents. We have relationships with outside consultants who can assist in self-diagnosing and addressing regulatory issues in order to mitigate and remediate compliance issues.