Giffen & Kaminski’s security litigation practice represents regional and national broker-dealers and investment advisors before self-regulatory organizations, state and federal courts.
The Giffen & Kaminski legal team successfully represents clients in prosecuting and defending employment contract and non-compete/non-solicitation agreements nationwide. We handle extensive employment claims brought before FINRA, including:
Our criminal defense attorneys have an outstanding record representing brokers and broker-dealers in state and federal security/criminal issues. When individuals and broker-dealers find themselves involved in the criminal process and prosecution, the attorneys at Giffen & Kaminski defend clients from investigation through sentencing.
Giffen & Kaminski counsels clients in securities investigations and litigation. We are proactive with the internal investigations and interact on behalf of our client with regulatory authorities, including:
Given the volatility of the markets, our legal team’s extensive experience representing brokers and broker- dealers in response to a multitude of customer complaints is invaluable.
Giffen & Kaminski’s attorneys have successfully prosecuted and defended clients at FINRA arbitration hearings throughout the nation. We handle significant claims concerning:
Our practice areas are narrowly tailored to fit the background and experience of our lawyers. Our practice areas include: