The securities and commodities industries are highly regulated, and the complex laws governing them require the services of experienced attorneys. When a dispute arises between an investor and a broker, the parties are generally required to attempt resolution of their dispute with one of several regulatory organizations, including FINRA (formerly the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)), or the National Futures Association (NFA). Cases may also be heard before the American Arbitration Association (AAA) and JAMS.
Singer Deutsch LLP is a full-service Securities, Commodities, and Employment law firm located in New York City, Los Angeles and San Francisco. Singer Deutsch LLP represents:
-Brokers, Traders, Analysts and Investment Bankers in defamation, U5 expungement and bonus dispute actions.
-Plaintiffs/claimants nationwide in FINRA, NFA, AAA and JAMS Securities, Commodities, and Employment Arbitrations against broker-dealers, futures commission merchants, investment advisors, financial planners, and investment banks.
-Brokers, traders, analysts and investment bankers who are the subject of Enforcement Proceedings and Regulatory Investigations conducted by the SEC, FINRA, the CFTC, the State Attorney General Offices, and the State Securities Commissions. These proceedings and investigations may relate to market timing, late-day trading, customer complaints/arbitrations, insider trading, stock manipulation and blue sky/registration issues.
-Individuals with no affiliation to the securities industry who are the subject of insider trading investigations undertaken by the SEC.
-Individual brokers and financial advisors who have been named as defendants/respondents in FINRA, NFA, AAA and JAMS arbitrations.
-Securities firms in FINRA (formerly NYSE) Member versus Member disputes.
While Singer Deutsch LLP maintains a thriving Securities, Commodities, and Employment Litigation, Arbitration, and Regulatory practice, the firm has expanded its practice to include legal services in Employment Law, outside the scope of the Securities industry.
