What We Do | Securities Litigation and Arbitration
Kessler & Collins has a wealth of experience in successfully representing broker-dealers in industry disputes and customer disputes. The Firm has a nationwide practice in this area appearing in numerous jurisdictions in both arbitration proceedings and state and federal courts. Kessler & Collins has defended class actions alleging securities fraud and have handled virtually every type of customer complaint such as churning, suitability, and manipulation as well as registration issues.
In addition, Kessler & Collins handles internal reviews and investigations which enable us to gather critical information early in the evaluative process of a claim or government investigation. We counsel clients on the steps necessary for them to take advantage of the legal protections available to them in connection with such information gathering. We assist our clients in developing strategies to counter the inherent problems in facing the ever increasing parallel proceedings being brought by private claimants and the regulatory efforts of the SEC, SRO’s and state administrators. In this regard, we have handled enforcement actions by the SEC and by numerous state regulators. These issues have ranged from insider trading to claims of failure to supervise.
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