Financial Services Litgation | Securities Litigation Attorney | Lawyers for Compliance - Wilchins Cosentino & Novins LLP
Financial Services Litigation
- Securities Litigation
- Broker/Dealer Disputes
- Regulatory and Compliance
- Restrictive Covenant, Trade Secret and Unfair Competition Services
- Customer Initiated Claims
- Officer and Director Liability
Securities LitigationWilchins Cosentino & Novins represents clients throughout the securities industry. Our attorneys have extensive experience in complex litigation and thorough knowledge of both securities law and the investment community. The firm’s experience includes substantial work in the following areas: representation in arbitration proceedings before the FINRA; internal investigations relating to potential legal/compliance issues; defense of investor claims of fraud, misrepresentation and other violations of securities laws; representation of companies and officers in corporate control disputes; and representation in regulatory and enforcement proceedings and internal investigations.
Wilchins Cosentino & Novins attorneys have substantial experience in litigating disputes between and among securities firms and registered representatives regarding employment issues, including so-called "raiding" cases.
We routinely represent both member firms and registered representatives nationally and through New England, in injunction hearings in federal and state courts.
Regulatory and Compliance
Wilchins Cosentino & Novins handles matters before the FINRA, FDIC, SEC and state regulators involving various subject matters, including:
- Fee-based brokerage accounts
- Unauthorized trading
- Market timing of mutual funds and variable annuities
- Market manipulation
- Sales practices relating to variable annuities
- Options trading and supervision
- Investment advisor services
Restrictive Covenant, Trade Secret and Unfair Competition Services
Customer Initiated Claims
During the course of our practice, our attorneys handle claims involving a variety of investment products, fee-based accounts, equities, bonds, mutual funds, options and variable and fixed annuities.