Securities Practice

Baritz & Colman LLP is nationally recognized for its practice in the area of securities litigation and regulation. We have represented clearing firms, brokerage firms and their associated persons before State and Federal courts and regulatory bodies throughout the United States for over twenty years and our clients include nationally and regionally recognized financial institutions.

The firm represents clearing firms, brokerage firms and their associated persons in securities arbitrations conducted under the auspices of the securities industry’s self - regulatory organizations, including defending claims for statutory violations, fraud, unsuitability, misrepresentations, and churning, among other claims, all in connection with the purchase and sale of securities. We also maintain excellent relationships within the securities industry and have achieved a high level of success on behalf of our clients utilizing alternative dispute resolution methodologies, including resolving claims through mediation.

In addition, we have extensive experience defending post-arbitration petitions to vacate arbitration awards. We have developed a substantial practice in the independent platform broker dealer space, and we represent firms and their associated persons in connection with formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), state bureaus of securities, and state attorneys general.

We also assist our securities industry clients in the formation and registration of broker-dealers, the transfer and ownership of existing firms, and firm and individual licensing with the various state regulatory agencies and the FINRA.

In performing these services for our clients, we provide advice on industry protocols and agreements, internal policies and practices, and the development of compliance manuals and supervisory procedures which are designed to the specifications of the particular business to comply with industry laws, rules and regulations, and ultimately, to minimize the risk of customer disputes or regulatory inquiries.