Securities Arbitration

Krantz & Berman LLP defends brokers, brokerage houses, insurance companies and financial institutions against charges of sales practice abuse and/or negligent handling of customer accounts. Our attorneys defend securities professionals and brokerage houses against claims in the following areas:

We represent clients in proceedings before the Financial Industry Regulatory Authority (FINRA)( formerly the New York Stock Exchange (NYSE) and National Association of Securities Dealers (NASD)).