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Securities Litigation & FINRA Arbitration

Cline Williams represents the securities industry in federal and state court litigation, arbitrations, and mediations.  In appropriate cases, Cline Williams assists investors with evaluating and trying matters involving unexpected losses or potential misconduct by persons entrusted with investments.  Cline Williams also represents both businesses and individuals in regulatory proceedings and investigations:

  • Disputes between customers and their securities broker/dealers and representatives
  • Breach of fiduciary duty
  • Suitability
  • Deceptive trade practices
  • Breach of contract
  • Fraud
  • Negligence
  • Failure to supervise
  • Violations of securities law and applicable industry rules
  • SEC enforcement proceedings

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