Kiefner Law Offices, P.A. represents broker-dealers and sales representatives in securities arbitration and regulatory matters. The firm’s expertise extends to claims of:
- Unauthorized trading
- Licensing and registration issues
The firm also represents public investors who have disputes with their brokers or brokerage firms. The legal team at Kiefner Law Offices, P.A. has broad experience in litigation, arbitration and mediation. This gives the firm a distinct advantage in resolving securities-related issues.
Types of litigation
- FINRA arbitration and mediation. Most monetary and business disputes among investors, securities firms, and individual registered representatives are resolved at a Financial Industry Regulation Authority, Inc. (FINRA) arbitration forum. This is because most investor agreements contain a clause requiring FINRA arbitration instead of civil court litigation. But, even if an investor agreement does not contain this clause, under FINRA rules a FINRA arbitration forum must be used if the investor requests it. If you are involved in a FINRA arbitration or mediation, contact Kiefner Law Offices, P.A. for experienced representation.
- Civil court. When FINRA arbitration is not required, such as a dispute involving a non-registered broker, Kiefner Law Offices, P.A. can litigate your case in civil court. Whether you are a plaintiff desiring relief or a defendant with a pending claim against you, contact Kiefner Law Offices, P.A. for experienced representation.
- Civil injunction enforcement action. The federal Securities and Exchange Commission and state regulatory authorities bring enforcement actions against broker-dealers, investment advisers, investment companies (such as mutual funds), and others involved in securities transactions. If there is a regulatory enforcement action pending against you, contact Kiefner Law Offices, P.A. for experienced defense counsel.
- Administrative proceeding. Federal and state administrative agencies control the licensing of broker-dealers, investment advisers, investment companies, and their affiliated and associated individuals. If you have been threatened with license suspension or revocation by the Security Exchange Commission or by a state administrative blue-sky proceeding, contact Kiefner Law Offices, P.A. to learn how we can help you keep your license.
- Administrative action. Various entities are self-regulating and may bring action against a registered entity or associated individual. If the New York Stock Exchange (NYSE), the American Stock Exchange (AMEX), the NASDAQ market, the Financial Industry Regulatory Authority (FINRA), or other self-regulating entity has an action pending against you, contact Kiefner Law Offices, P.A. for experienced representation.
Click here to contact a lawyer about securities litigation issues or call Kiefner Law Offices, P.A. at 727-894-8000, or toll free at 888-460-9883.
A special note to attorneys handling white-collar criminal cases and other securities related cases:
Kiefner Law Offices, P.A. has special expertise that may help you with your client’s case. Our firm provides consultation in these cases and can as an expert witness.
Click here to contact the firm about representation for white-collar criminal cases and securities related cases or call Kiefner Law Offices, P.A. at 727-894-8000, or toll free at 888-460-9883.