Trading firms are often subject to securities laws, federal commodities laws and self-regulatory mandates.

James B. Koch, Michelle LaGrotta and the rest of our team are nationally known for excellent work in this practice area. We’ve represented corporations and individuals in more than 250 arbitrations. We’ve represented customers, brokers and brokerage firms in arbitrations before the NFA, CFTC, SEC, FINRA and NYSE.

GKWW has represented parties in proceedings held in thirty states and in federal courts in the 2nd, 5th, 7th, 9th and 11th circuits. These matters have included claims for fraud, for unsuitable investment recommendations, for excessive trading, for churning, for unauthorized trading, for breach of fiduciary duty, for spoofing,and for misrepresentations and omissions.

Because of his expertise, Jim Koch has been frequently quoted in The Wall Street Journal and the financial press. His cases have often been highlighted in the media.

We invite you to review the Gardiner Koch Weisberg & Wrona blog (where we offer a look at our most recent successes). Contact Gardiner Koch Weisberg & Wrona for a free consultation.

Since our establishment in 1992, Gardiner Koch Weisberg & Wrona has brought a sophisticated, well-knit mosaic of expertise to bear in several practice areas. We are aggressive, ethical advisers who get things done.

To arrange a consultation with one of our experienced and knowledgeable staff, don’t hesitate to reach out to us.

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Regulations

As the regulatory environment has become more complex and litigious, GKWW’s effectiveness and agility has only become more vital.

We’ve spent the last twenty years assisting broker-dealers, IPs, CFAs, and others in their registration and compliance matters. We smooth the way throughout the registration process with the SEC, FINRA, CFTC and NFA, then guide firms in the establishing policies to safeguard themselves from violating regulations. We assist new companies from startup to operation.

CFTC, FINRA, NFA and NASD Matters

With decades of success in investigations and enforcement proceedings involving these administrative and regulatory agencies and state regulators. We provide early and invaluable assistance to our clients–not only during the proceedings themselves, but in the development of a comprehensive strategy for addressing any claimed violations. We also have criminal law experience necessary to anticipate when potential regulatory violations could lead to criminal charges. We have the extensive civil experience necessary to defend actions in court that may stem from the investigation.