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Practice Areas

Securities Litigation, Arbitration and Regulation

Attorneys in this practice group have the experience and knowledge to handle all aspects of contested securities and enforcement matters. As a full-service corporate litigation firm, we utilize our cross-practice capabilities to counsel securities industry clients and coordinate legal solutions addressing sales practices, employment and regulatory issues. Our attorneys regularly represent clients nationwide in federal and state court litigation, before FINRA arbitration panels and before the SEC, FINRA and state securities commissions.

Berkowitz Oliver’s depth of experience allows it to handle, among other things, SEC investigation and enforcement proceedings in as well as representation of registered broker-dealers and securities industry employers in employment-related matters, including wrongful termination, defamation and restrictive covenant litigation in coordination with our Employment Litigation practice group.