National Securities Arbitration and Regulatory Attorneys

• Experienced and Knowledgeable securities fraud FINRA attorneys - the attorneys of Lubiner Schmidt & Palumbo have handled hundreds of securities fraud cases with millions in investment losses for over thirty years
• We are available 24/7 Call to receive a free assessment for investment fraud against your broker dealer
• Our securities FINRA arbitration attorneys work on cases involving stock broker fraud and investment misconduct dealing with millions in investment losses.
• Our objective will be to assist you in recovering as much in realized or even unrealized future gains AND lost interest to the fullest extent possible in a FINRA arbitration
• If you have investment losses in any security, whether it be a stock, bond, options trading exchange-traded fund ("ETF"), an exchange-traded note ("ETN"), a non-traded real estate investment trust ("REIT"), OIL AND GAS Master Limited Partnerships, Commodities trading, variable annuity, or more complex structured products we may be able to recover your lost assets
• Managed investment accounts, IRA securities losses, 401k reductions, no matter what the securities account - if you have investment losses we may be able to help!
• When examining your monthly statements if you see securities in your account that you don't understand - we want to hear from you!
• We have handled cases in managed investment accounts with brokers and non -managed trading securities accounts with clients dealing solely with the broker dealer
• Perhaps you feel your broker has made unsuitable high risk recommendations or excessively traded your account. The attorneys of LSP have handled hundreds of unsuitability and investment fraud cases
• You may be a senior citizen or family member of senior who has an investment account and don't fully understand the transactions in their account - we can help!

Lubiner, Schmidt & Palumbo has over three decades of experience in representing customers in securities arbitrations and defending individual brokers and small, medium and large broker-dealers arbitrations. The securities arbitration attorneys at Lubiner, Schmidt & Palumbo have handled hundreds of securities arbitrations from the pleadings stage to resolution by settlement or hearing.

Most securities arbitrations today are administered by the Financial Industry Regulatory Authority ("FINRA"). The securities arbitration lawyers at Lubiner, Schmidt & Palumbo have a wealth of experience before FINRA arbitration panels and are particularly knowledgeable about FINRA arbitration practices and procedures. Our in-depth understanding of the inner workings of the securities industry positions us to provide clients with superior representation. Our experience enables us to obtain the most favorable result for the client, whether that is settlement of a claim with significant exposure or presentation of an aggressive defense to a specious and illegitimate claim. READ MORE

In today's securities regulatory environment, it is imperative for a brokerage firm and/or its employees facing any type of regulatory inquiry to have the counsel of experienced securities regulatory authorities. The securities regulatory attorneys at Lubiner, Schmidt & Palumbo can assist a firm and its employees respond to the varied requests or demands made by industry self-regulatory organizations ("SROs") or government agencies that broker-dealers and their employees frequently receive.

There are numerous reasons why an SRO or governmental agency determines to initiate a regulatory inquiry. The inquiry could begin with the receipt of a letter requesting the production of customer records for one client or trading records for one particular stock. The recipient of the request could simply be the custodian of records the requester wishes to examine or a simple fact witness, not a target of the investigation, who the requester wishes to interview.

Or the letter could be addressed to one of the firm's largest producers, the subject of several customer complaints, advising that she is the target of a regulatory investigation due to the receipt of yet another complaint.

In any of the scenarios above, one of the first steps that should be taken is the retention of an experienced securities regulatory attorney to assist in the preparation of a response to the inquiry. READ MORE

Today, there are multiple employment issues facing brokerage firms, their executives, branch managers and human resources managers (and the employees themselves) in the financial services industry.

At the branch level, managers must be conversant with the current recruiting practices when they are looking to hire a new broker or when an existing broker resigns to join a new firm. If that resigning broker leaves the firm owing money to the firm collection efforts are frequently instituted.

Registered representatives should be aware of the legal implications contained in any employment agreements they sign and what, if any, restrictions on their activity might be in those agreements. During the course of their employment, their current or former employer may file amendments to their Central Registration Depository ("CRD") disclosure history. For individuals, a false or inaccurate CRD disclosure could have a serious and negative impact on their livelihood. For firms, a false or inaccurate disclosure could lead to a claim of defamation.

Compensation issues, whistleblower claims, wrongful discharge and discrimination claims all require serious review, investigation and resolution. Now, more than ever, securities firms and their employees require the counsel of experienced securities industry employment attorneys, such as the ones at Lubiner, Schmidt & Palumbo. READ MORE