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.