Securities & Commodities

Our founding member, James B. Koch, is nationally known for his work in securities and commodities. James has tried over 250 arbitrations with successful results and has represented customers, brokers and brokerage firms before the NFA, CFTC, SEC, FINRA and NYSE arbitrations. Mr. Koch has taken three cases to the United States Supreme Court. He has represented parties in proceedings held in thirty states and in federal courts in the 2nd, 5th, 7th, 9th and 11th circuits. Mr. Koch has represented individuals and corporations across the country in securities litigation and arbitration actions including claims for fraud, unsuitable investment recommendations, excessive trading, churning, unauthorized trading, breach of fiduciary duty and misrepresentations and omissions.

Arbitration, a requirement in brokerage disputes, affords investors considerable advantages. The process is considerably more expeditious than litigation and claims can often be heard within a year of being filed. Arbitration also is also considerably less costly than litigation. Moreover, arbitration claims typically are binding, so brokerage firms cannot file endless appeals and force their clients to rack up extensive legal bills. Any investor with a U.S. brokerage account can file an arbitration claim, regardless of whether they are a citizen or actually live in the country. At GKWW we typically work on a contingency or success fee basis when filing arbitration claims, meaning our fee is a portion of the amount we recover. This ensures that our firm’s interests are closely aligned with our clients. We bill out-of-pocket expenses at cost. Given our extensive experience and our industry experts, we can quickly determine the merits of potential claims. As we work frequently work on a contingency basis, we only pursue claims where we believe there is a reasonably high probability of success. We offer clients a free, no obligation consultation.