Since the firm’s inception almost 40 years ago, our attorneys have been representing registered representatives and principals of firms on a consistent basis. As a result, we have a deep, unparalled and published track record of opinions in court and a combined over 150 arbitration awards after evidentiary hearings on behalf of our clients.
Our attorneys represent registered representatives in a wide array of matters including, Form U4 and Form U5 filings; state licensing issues; protocol, raiding, and other transitional issues; promissory notes; FINRA arbitrations; court proceedings; on-the-record interviews; subpoenas; regulatory investigations; and enforcement proceedings.
Our attorneys also represent principals of firms in a wide variety of matters including executive compensation; compliance and supervision; on-the-record interviews; regulatory investigations; and court proceedings. Our attorneys have obtained dismissals of claims in state court, federal court, and in arbitration on behalf of securities principals.
- 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