Securities Arbitration

While GGB represents many clients in general business, commercial, and employment matters through court litigation, GGB also advocates for clients in securities disputes through arbitration and mediation. Investors, investment professionals, broker-dealers, registered investment advisers, and others who have chosen to resolve their differences through dispute resolution services such as Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), or other alternatives to court litigation can rely upon the experience and expertise of GGB in these forums.

GGB has experience arbitrating claims featuring the following theories of recovery:

• Unsuitable investment recommendations
• Breach of fiduciary duty
• Negligent misrepresentations
• Fraudulent misrepresentations
• Statutory fraud (based upon federal or state securities statutes)
• Common law fraud (based upon court-created theories of fraud)
• Negligence
• Failure to supervise
• Failure to execute
• Churning
• Consumer protection statutes

In addition to cases involving customers of retail brokerage firms, GGB has also represented parties involved in securities disputes related to private securities transactions and closely-held businesses.

Investment professionals, broker-dealers, and registered investment advisers can also become involved in arbitration or litigation of industry-related disputes. GGB is well versed in the intra-industry employment and practice issues that are often a source of controversy:

Restrictive employment agreements, including disputes involving:

• Non-competition
• Client non-solicitation
• Employee non-solicitation (anti-raiding provisions)
• Confidential or proprietary information (trade secrets)
• “Forgivable loans” or promissory notes
• Retention bonuses