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Securities Litigation and Arbitration

Nearly everyone knows that investing involves risk.  So does Securities Arbitration.  When Marc Dobin first started working in the brokerage business as a legal assistant in a brokerage firm, the largest case in the office was $300,000.  Due to the vast explosion of wealth in this country, people lose $300,000 all the time.  That's where the arbitration comes in.

Marc has represented brokerage firms and investors in Florida for nearly 17 years.  (Before that, he had jobs "up north" but has been in Florida long enough to consider 55 degrees "cold.")  He has won cases and lost cases.  Unfortunately, nothing can be predicted to a certainty.  Our job is to give you our best advice and counsel along the way.  We may not avoid an arbitration hearing, but at least we'll be there together.

The firm represents brokerage firms, brokers, and individual customers in federal and state court, before the National Association of Securities Dealers ("NASD"), the New York Stock Exchange ("NYSE"), and in other arbitral venues in all matters arising from the purchase and sale of securities and investments. The products in issue include bonds, bond funds, collateralized mortgage obligations, closed-end funds, commodities, common stocks, derivatives, equity-indexed annuities, fixed annuities, foreign currencies, government securities, high-yield instruments, insurance-related products, mutual funds, new issues, options (equities and index), partnerships, private placements, unit trusts, and variable annuities. Often in issue is the propriety of complex investment strategies involving futures, hedging, margin, stock options, reverse-repo contracts, straddles, and a variety of other investment techniques.

The firm has handled claims for statutory violations, such as the Securities Act of 1933 and the Securities Exchange Act of 1934 and common law claims for fraud, misrepresentation and omission, negligence, negligent supervision, breach of fiduciary duty, and breach of contract. The claims often involve allegations of churning, conversion, embezzlement, failure to diversify, failure to execute orders or to follow instructions, failure to hedge, forgery, front-running, market manipulation, suitability, over-concentration, theft, and unauthorized trading.

The firm has experience with foreign finder issues, claims involving offshore investors, and other matters arising from international brokerage accounts and transactions.

The firm also handles collection of debit balances, processing of garnishment claims, and resolution of clearing disputes.