Arbitration and Litigation

Evans & Kob’s arbitration and litigation practice involves all aspects of securities arbitration and litigation, including banking, financial, insurance, professional liability defense and other securities matters. Our attorneys regularly represent financial institutions, branch managers, financial planners, directors and officers, investment advisers, money managers, hedge funds, banks and broker-dealers in virtually every region in the country before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, Inc. (FINRA), American Arbitration Association (AAA), and state and federal trial and appellate courts.

Our dedicated group of lawyers draw upon their diverse backgrounds, including executive and compliance officers of FINRA member firms, general counsel to issuers and a former SEC enforcement attorney, to defend our clients in a diverse range of matters, in civil litigation as well as before federal and state regulators. In addition, through our coordinated approach with other services, we continually counsel firms and associated persons on rule compliance and oversight to minimize risks associated with regulators, arbitration and litigation.

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Common Representations include claims regarding
  • Suitability
  • Failure to Supervise
  • Churning
  • Misrepresentation and Fraud
  • Unauthorized Trading/Transactions
  • Mutual Fund Switching
  • Over-Concentration
  • Mutual Fund Switching
  • Hedging Activities
  • Employee Stock Options
  • Employment-related: Hiring, Firing, Termination Issues
  • Employment Agreements, Non-Compete and other Restrictive Covenants
  • Misappropriation of Trade Secrets or Confidential Information
  • Negligence, Due Diligence
  • Selling Away
  • Alternative Investments

If you wish to speak with an attorney about your needs and questions in any of these areas, please contact us at info@eklawpc.com.

Interested in our services? We would appreciate hearing from you!