Banking, Finance & Securities Disputes Attorneys in New Jersey & New York

Spiro Harrison & Nelson LLC’s financial services team is experienced in handling all types of financial disputes.  Our versatility sets us apart, representing plaintiffs and defendants, and entities as well as individuals, without the conflicts of an institutional law firm.  Our attorneys have represented private equity funds, hedge funds, investment banks, broker-dealers, financial advisors and investors in major securities fraud class actions, investment fund disputes, sophisticated structured financial products investigations, and customer-member arbitrations.

Our investment funds practice involves fund disputes with fund owners, managers and investors.  We also represent private equity fund portfolio companies as outside general counsel and in disputes with third parties.

Our FINRA arbitration practice is bolstered by deep experience in disputes relating to allegations of, among others, unsuitable investment recommendations, misrepresentation, fraud, breach of fiduciary duty, failure to supervise, unauthorized trading, and excessive trading. In addition, we have experience assisting financial advisors with expungement of disclosures from their CRD records, as well as assisting firms in their responses to state and federal securities and insurance regulators. Our attorneys have mediated numerous customer-member disputes as well, always ensuring the most positive and cost-effective result for our clients. Our attorneys both represent parties in FINRA arbitrations and serve as arbitrators on FINRA’s arbitration panel.

We’re also experienced in resolving employment related disputes, including wrongful termination and retaliation claims, as well as compensation issues.  Our experience enables our clients to call upon us to advise them on issues related to compliance and preparedness, and to conduct internal investigations into employment issues.  In the wake of recent financial crises, we believe in a proactive approach to addressing the many complex regulatory issues facing entities and individuals in the financial sector.

Finally, we have experience representing community and large banks in varied disputes, including those related to check forgeries, poor loan servicing, and allegations of misconduct by employees against customers. We are equipped to swiftly and effectively resolve any issues that arise in the banking space.

Representative Matters:

  • Represented client in connection with securities violations involving the early dissemination of market-moving information.
  • Represented client in connection with an action against the United States Government asserting claims for an illegal exaction and taking of shareholder value.
  • Represented broker-dealers and financial advisors in numerous actions, defending against claims by customers of unsuitable investment recommendations, breach of fiduciary duty, churning, selling away, fraudulent misrepresentation, and unauthorized trading.
  • Represented client in an action for fraud, malpractice and business torts arising out of a Ponzi scheme.
  • Represented client in an action for securities fraud in connection with an insurance product investment.
  • Represented a state pension fund in recovering losses related to investments in structured investment vehicles.
  • Represented a state finance authority in recovering losses related to penalties imposed by the Internal Revenue Service for violations of federal tax law in the issuance of tax-exempt municipal bonds.