Giffen & Kaminski’s security litigation practice represents regional and national broker-dealers and investment advisors before self-regulatory organizations, state and federal courts.
Employment
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:
