Perhaps you are an investor who is involved in a high-stakes legal dispute with a broker-dealer or an investment advisor regarding significant losses or portfolio underperformance due to bad advice, conflicts of interest, unsuitable investments, common negligence, or outright fraud. Or maybe you are a securities professional dealing with a career-threatening U5 defamation issue. In either case, you need an experienced advocate who knows the industry inside and out and has litigated these types of cases before. As a former Deputy General Counsel at a major broker-dealer and a securities litigation partner at international law firms in Manhattan and San Francisco, I can help you. I am well-versed in FINRA and SEC rules and regulations, and I have been involved in dozens of FINRA arbitrations, internal investigations, and regulatory inquiries. Please call me for a free consultation.