Experienced Attorneys Fight For You in Matters of Broker Dealer Litigation

Investors trust that broker-dealers, investment advisors, brokerage houses, financial planners and other similar professionals will follow the rules and regulations.  Unfortunately, violations of the SEC rules are commonplace.  Whether losses are the result of mistake or greed, the result is the same: the loss of your money.

Our attorneys have handled numerous arbitrations before various arbitral bodies, including the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association (AAA).  We have represented numerous customers in customer/broker disputes, including claims of suitability, churning, unauthorized trading, negligence, breach of fiduciary duty, material misrepresentations or omissions, and failure to supervise.

Lowey Dannenberg recovers against brokers, brokerage firms, financial planners and other related parties.  We work hard to get compensation and see that those responsible are held accountable for their mistreatment of your investments.  Examples of our work include

  • Representing victimized investors in New York state court, Lowey Dannenberg alleged an asset management company breached its fiduciary duties by investing the clients’ retirement funds with Bernard Madoff and in portfolios heavily weighted in risky stocks.  The parties agreed to a confidential settlement of the matter for a significant portion of losses after the court sustained claims alleged in the complaint.
  • In another matter, on the eve of the hearing after researching and preparing our case for months, we recovered nearly a million dollars for claimants asserting suitability, churning and unauthorized trading claims against their former broker, and failure to supervise claims against the brokerage firm.

Contact us.

If you or your institution has been harmed, nationally-recognized Lowey Dannenberg has the experience needed to handle your complex litigation needs. Speak with an attorney at our offices in New York or Pennsylvania online or at 914-997-0500.