Securities Litigation, Arbitration and Enforcement
Kotz Sangster has extensive experience representing securities broker/dealers and futures commission merchants and their employees in a variety of situations. Whether a customer-initiated arbitration proceeding before FINRA or AAA, a shareholder class action, an enforcement action brought by a self-regulatory organization or the SEC, or a trade secret/unfair competition suit in state or federal court, we have the experience and resources to deliver the desired result. Kotz Sangster represents clients in these matters from Alaska to Pennsylvania, from Minnesota to Florida, and for firms ranging from the largest of the national warehouses to small, independent firms and investment advisors.
