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Giffen & Kaminski has been involved in many disputes
involving the interests of broker-dealers and financial services
institutions and their customers. The claims raised in these
cases include fraud, negligence, breach of fiduciary duty,
failure to supervise, unsuitability, churning, compliance
issues, and unauthorized trading. In addition, Giffen &
Kaminski has represented brokerage firms and broker-dealers
in cases involving employment issues such as wrongful termination,
defamation, discrimination, trade secret violations, and breach
of employment agreements, including noncompetition agreements.
These securities issues have been litigated in federal and
state courts, and in arbitrations before the NASD and NYSE.
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