Securities Litigation & Arbitration
The attorneys of Baskin Richards represent Arizona clients in litigation and arbitration proceedings in front of the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), the Securities and Exchange Commission (SEC), state securities regulators such as the Arizona Corporation Commission, as well as state and federal courts. We have a unique and diverse background prosecuting and defending securities matters that gives us the insight few others have. Our firm features one of a select group of Arizona securities attorneys to have obtained a 7-figure award in an NASD (now FINRA) arbitration. Similarly, we have the only Arizona attorney over the past 20+ years to have twice obtained attorneys’ fees against our state securities regulators when they have overstepped their bounds. We have also prevailed and been awarded attorneys’ fees against a brokerage firm that overzealously attempted to attach a client’s assets.
We help investors recover money they have lost due to:
- Investment adviser misconduct
- Securities fraud, misrepresentation and churning
- Selling away, which means selling investments not approved by the brokerage firm
- Stockbroker fraud and misconduct
- Unsuitable investments based on the investor’s age, risk tolerance or other factors
Our attorneys also represent stockbrokers, financial advisers, promoters and other investment professionals who are accused of fraud and misrepresentation. We defend investment professionals in administrative and civil proceedings and also from criminal charges arising from alleged securities fraud.