OUR PRACTICE AREAS
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We provide our clients with dedicated, cutting edge legal representation in a variety of matters, focusing primarily on securities industry disputes, including court proceedings, FINRA arbitrations, SEC, FINRA and blue-sky state regulatory enforcement proceedings, as well as alternative dispute resolution methods like mediation. Our founding partners have devoted the majority of their careers to the representation of the financial services industry -- representing both institutions and individuals (such as corporate executives, officers, directors, registered representatives, branch office managers, compliance officers, registered investment advisors, investment bankers, traders and other industry professionals). We also represent and defend public companies, stock promoters, investor relations firms, and a variety of financial institutions in regulatory matters before the SEC, state agencies and self-regulatory organizations.
Although the size and complexity of our cases vary significantly, most of the cases we have handled on behalf of financial industry professionals involve claims of: churning, suitability, unauthorized trading, excessive trading or commissions/fees, failure to supervise, securities fraud, research and analysts' conflicts, misrepresentations and omissions, and execution-related claims such as order failure, failure to execute, market manipulation, trading desk claims and operational errors. Examples of other issues we have faced include registration improprieties and margin and clearing firm liability, and the products we have dealt with require a familiarity with large Dow-component stocks to penny-stocks, options, "junk" bonds, limited partnerships, variable annuities and other insurance-related products.
In addition to securities litigation, arbitration and regulatory defense work, PULLP also represents and advises a variety of clients in employment and commercial litigation matters. We have represented clients in raiding claims, contractual disputes, matters involving the improper infringement of copyrighted and patented materials and ideas, defense of federal class-actions, and also have served in a legal advisory capacity to a variety of small and mid-size business owners.