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EXPERIENCED SECURITIES REGULATORY LAWYERS
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Welcome to the Lubiner, Schmidt & Palumbo website.

Lubiner, Schmidt & Palumbo are experienced securities arbitration, regulatory and employment attorneys. The firm represents large, medium and small broker -dealers and individual financial advisors. The firm also represents customers in disputes with brokerage firms.

Take a look at our website. We discuss securities arbitration and litigation, securities employment issues, securities regulatory matters and investment products litigation.

In this section, you’ll find articles on general topics and current trends in the securities industry. Senior citizen protection (here and here) is a major concern for firms and regulators. We discuss some recent regulatory actions that punish violators and protect investors (here, here and here). Some recent arbitration decisions may interest you (here and here). FINRA mediation, an alternative to arbitrating a case, may be something that appeals to you and your attorney.

If you have questions or concerns regarding a securities matter, contact Lubiner, Schmidt and Palumbo for a consultation

Investment Advisor Fraud in Connection with Woodbridge Securities Promissory Notes Woodbridge Wealth Management Investor Alert - FINRA Arbitration Panel Awards Customers $805,120 Against UBS And Melville Long Island Broker Investor Alert - Did You Invest in Breitburn Energy Partners LP? If so, You May Be Able to Recover Some or all of Your Losses Investor Alert - Former New Jersey Broker has License Revoked for Thefts of Funds From Elderly Couple Investor Alert - If You Lost Money in Energy Investments You may be Able to Recoup Your Losses Investor Alert – Bergen County, NJ Broker Arrested, Barred From The Securities Industry, For Stealing Money From Elderly Clients Uncertainty Surrounds the DOL Fiduciary Rule As States Seek to Have Their Say Investor Alert - Notice to Investors in the Woodbridge Group of Companies SEC Share Class Selection Disclosure Initiative Investor Alert - Citigroup’s Inaccurate Research Ratings Result in FINRA Sanctions of Over $11M Investor Alert - REIT Default/ Fraud Investor Alert - Massachusetts Regulator Files Charges Against Scottrade inc. Investor Alert - Two Former Wells Fargo Brokers Barred Because Of Overconcentration Of Energy Stocks In Customers' Accounts Investor Alert - New Jersey Bureau of Securities Revokes Licenses of Husband / Wife Brokers Notice to Oil and Gas investors – Did You Purchase Shares of Miller Energy Resources Inc. FINRA 2018 Annual Regulatory and Examination Priorities Letter Regulators Seek to Protect Senior Investors from Financial Harm Repeat Offender Sanctioned by FINRA Wells Fargo Subsidiaries Ordered to Pay $3.4 Million to Customers FINRA Arbitration Panel Scolds David Lerner Associates, Broker Investor Alert - Variable Annuities New Jersey Financial Advisor Pleads Guilty To Theft of Almost $900,000 From Client FINRA New York Panel Awards Customer $206,000 Against Gilford Securities, Broker Senior Citizens – Beware! New York Sports Radio Personality Craig Carton and Another Arrested, Charged with Running a Ponzi Scheme; SEC Files Related Complaint FINRA Panel Awards Customer $100,000 against JP Morgan Former HSBC Bronx, NY Broker Barred by FINRA for Scamming Senior SEC Charges Connecticut Broker with Theft, Ponzi Scheme Discovery in FINRA Arbitration Temporary Restraining Orders FINRA 2017 Annual Regulatory And Examinations Priorities Letter Energy Stocks at 2008 Levels FINRA Mediation: A Close to 'No Lose' Situation FINRA FINRA Jurisdiction SEC Makes Largest Whistleblower Award To Date Bloomington, Indiana Financial Advisor Sentenced to Prison for Elder Fraud The Securities Exchange Commission and United States Attorney’s Office in Newark Charge New Jersey Broker with Misappropriation of Client Funds Misappropriation of Customer Funds in New Jersey The New Jersey Bureau of Securities Acts against Secaucus-based Investment Advisor National Realty Investment Advisors LLC
Client Reviews
★★★★★
I came to them with a lawsuit I wanted to pursue against a big company. I called other lawyers who didn't understand or want to listen to me. They researched the case and took it on contingency. 3 months later when no other lawyer would listen they got me mid 6 figures. They always returned my email or call me to update. Great negotiator as I would have taken the first offer and they got me double. They are smart, down to earth guys that don't talk down to you unlike other lawyers. If this firm can't help you than nobody can. Michael
★★★★★
They respond in a timely manner to any of my questions. Their quality of service is excellent. If you are seeking legal muscle behind you and a competent lawyer to handle your case, Mr. Lubiner is the answer. George A.
★★★★★
Our firm has engaged Lubiner & Schmidt LLC for over fifteen years. They have always surpassed our expectation and the quality of service has been excellent. We strongly recommend their services to any corporate client seeking legal help. Girish N.
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