Securities Industry Litigation and FINRA Arbitration

 

At Roche Law Group, our attorneys have extensive experience in financial services and securities industry litigation. They have successfully represented clients at the national and state level - from national broker-dealers, to registered investment advisory firms, to individual financial services professionals.  Our firm has expertise in matters including trade secret, non-compete, arbitration, enforcement and regulatory proceedings and sales practice defense.

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Roche Law Group regularly represents clients before the Financial Industry Regulatory Authority (FINRA) throughout the country. We have extensive experience acting as lead trial counsel in FINRA arbitrations and can craft an effective litigation and arbitration strategy for our clients. We regularly represent securities firms and individual advisors in employment matters as well as in compliance and regulatory investigations, including U4/U5 defamation claims, responses to FINRA inquiries, responses to state or SEC regulatory inquiries and sales practice disputes with customers.

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Our goal and focus is to exceed our clients’ expectations and produce results that allow our clients to achieve their goals and advance their business interests.

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