Established by a former Chief Attorney of the SEC’s Division of Enforcement, our securities litigation practice is a market leader, and our securities litigation attorneys have vast experience that has yielded hundreds of court opinions and arbitration awards.
With a diverse and prominent client base including broker-dealers, trading firms, investment advisory firms, hedge funds, registered representatives and investors, we handle disputes involving a broad spectrum of securities and commodity products as well as other complex instruments and investment vehicles. Our attorneys have successfully defended complex securities claims involving market manipulation, fraud, breaches of fiduciary duty, churning, insider trading, liquidation of margin accounts, sales practice abuses, shareholder actions, § 10(b) and Rule 10b-5 claims, RICO claims and Ponzi schemes.
We regularly appear before federal and state courts around the country as well as administrative and arbitration proceedings before the SEC, FINRA, CFTC, NFA, CME, PCAOB, state securities departments, attorneys generals and other regulators.
Building on our established stronghold in the securities industry, our attorneys have significant expertise litigating employment disputes including claims regarding Form U5 defamation, non-compete and non-solicitation agreements, forgivable loans, promissory notes, raiding, TROs and other injunctive relief, discrimination, retaliation, whistle-blowing and employment matters.
- FINRA Fines Merrill Lynch $1,000,000 Based on GKN’s Success in NY Court Regarding Arbitration
- GKN Chosen One of the New York Area’s Top Ranked Law Firms
- GKN Obtains Dismissal of StockCross Financial Services in $2,808,660 Arbitration
- GKN Prevails on Behalf of Raymond James in Arbitration Alleging $2,000,000 in Damages with Panel Assessing Entirety of the $20,850 in Hearing Fees Against Claimant.
- GKN Wins $8.1 Million for Clients from Merrill Lynch after 12 Day Hearing
- GKN Wins Historic Appeal: FINRA Lacks Authority to Enforce Collection of Disciplinary Awards