Securities and Investment Professional Liability

Securities and Investment Professional Liability Attorney

FINRA - Securities Arbitration Claims

Our Securities and Investment Practice Group services a broad client base, including, but not limited to:

• registered representatives
• financial planners
• investment advisors
• broker-dealers
• hedge fund and mutual fund administrators
• financial services outsourcing solution providers
• private trust companies
• insurance brokers/agents

We also handle:

• fiduciary liability matters
• corporate directors and officers
• employment practice liability matters

In addition to professional liability matters in state and federal courts, we defend brokers and broker-dealers before self-regulatory organizations, state agencies and the SEC. We handle securities arbitration claims before FINRA, AAA and other SRO's.

Founded in 1962, Marshall, Dennehey, Warner, Coleman & Goggin is now the largest law firm in the country devoted exclusively to civil defense litigation. We have over 400 attorneys who staff nineteen offices strategically located in Philadelphia, Pittsburgh, Tampa, Orlando, Jacksonville, Ft. Lauderdale, and communities throughout Pennsylvania, New Jersey, Delaware, Ohio, Florida, and New York. Our offices are centrally linked by state-of-the-art computer networking. Our clients realize a number of benefits from our extensive network of offices: travel time is sharply reduced and the attorneys working out of these offices and living in these respective areas are intimately familiar with the local practice and enjoy a good rapport with the local judges before whom they frequently appear.

We also handle FINRA matters in many regions within the United States.

Recognizing the need for a cost-effective approach to the defense of professionals and organizations, our firm is dedicated to providing our clients with quality, timely, and economical service. We are on the cutting-edge in developing innovative and alternative billing practices.

We would welcome the opportunity to work with you in handling your securities professional liability matters. We are also available to conduct presentations, as well as training or compliance seminars at your location, or at one of our nineteen offices. Kindly direct inquiries and referrals to: