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Securities

Shaheen & Gordon, P.A. has significant experience in the representation of individuals and companies in securities matters. We have represented individuals and corporations regarding regulatory and compliance matters, fraud, customer claims, and broker/dealer issues in federal and state court, before the United States Securities and Exchange Commission, in state bureaus of securities regulation, and before the National Association of Securities Dealers and the American Arbitration Association.

Lucy J. Karl, Esquire is an arbitrator for the National Association of Securities Dealers, the American Arbitration Association, and the New York Stock Exchange. Ms. Karl has also served as the court appointed receiver of a disgorgement fund of a broker dealer with the responsibility of administering investors’claims. In addition, Ms. Karl has had extensive experience litigating securities class actions.

Steven M. Gordon has represented Bank presidents and chief financial officers in federal grand jury investigations. In addition, he has represented individuals before the Office of Thrift Council.