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Securities Litigation

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:

  • Enforcement of non-compete/non-solicitation agreements
    • Temporary Restraining Orders and Injunctive Relief in state and federal courts nationwide
    • Damage hearings in relation to the violation of non-compete/non-solicitation agreements
  • “Raiding” Claims
  • Disputes related to U4 and U5 filings
  • Recruitment and Retention
    • Review current employment agreements and advise on enforceability
    • Provide recommendations for transition of employees
  • FINRA Arbitration (traditional HR related issues)
  • Discrimination
  • Wage & hour
  • Unlawful termination

Criminal Defense (Securities)

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.

Regulatory Authority Investigations

Giffen & Kaminski counsels clients in securities investigations and litigation. We are proactive with the internal investigations and interact on behalf of our clients with regulatory authorities, including:

  • Financial Industry National Regulatory Authority (and its predecessors, formerly the National Association of Securities Dealers and the New York Stock Exchange)
  • Securities Exchange Commission
  • State regulatory agencies

Customer Disputes

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:

  • Breach of fiduciary duty
  • Churning of accounts
  • Failure to supervise
  • Suitability of investments
  • Negligence

Our practice areas are narrowly tailored to fit the background and experience of our lawyers. Our practice areas include:

Our Office
  • Cleveland Office
    1300 East Ninth Street
    Suite 1600
    Cleveland, Ohio 44114
    Phone: 216-621-5161
    Fax: 216-621-2399