Scott's national business litigation practice emphasizes all forms of securities litigation, conducting internal corporate investigations, and insurance coverage counseling and litigation. read more ...
For many years, the vast majority of disputes between retail investors and their securities brokers have been resolved in arbitrations administered by the Financial Industry Regulatory Authority (FINRA). But, FINRA-administered arbitrations were not available to investors, or their financial advisors, where the client’s relationship was with a Registered Investment Adviser (RIA) not affiliated with a securities broker/dealer firm, as FINRA does not have authority over RIA firms.
Scott's national business litigation practice emphasizes all forms of securities litigation, conducting internal corporate investigations, and insurance coverage counseling and litigation.