Defending the Individual Broker

The presumption of guilt and wrongdoing pervades arbitrations and disciplinary proceedings, as well as cases brought by federal and state law enforcement authorities. While the law imposes the burden of proof on your accuser, the realities are far different. You must prove your innocence. We understand these realities and prepare vigorous defenses to all claims.

Many brokers have us on retainer before a problem gets out of hand. They know they can call us anytime and receive immediate advice on:

  • Responding to a request for information from FINRA Regulation
  • Dealing with a customer complaint
  • Helping respond to an internal investigation
  • Reviewing new and existing contracts of employment
  • Determining whether the broker is being “constructively discharged” because promised support and certain investment products are no longer forthcoming from the brokerage firm
  • Privately advising and conferring with the broker about case strategy in an arbitration or disciplinary proceeding when the brokerage firm’s in-house or outside counsel is the attorney-of-record

Because we also represent customers we know many of the customer attorneys throughout the country, allowing us to open more effective lines of communication should an arbitration be brought against you.

Because of our unique experience in securities arbitration throughout the country, we are able to access a nationwide group of professionals. We can learn about the potential pool of arbitrators and how they’ve decided similar cases. We can tap our contacts in the securities industry to retain recognized and respected industry experts to testify on your behalf.

At an early stage we determine whether the case should be contested or settled – directly or through mediation.

We know the documents to request from customers to challenge the merits of their allegations.

Because we are also arbitrators and mediators in the area of customer-broker disputes, we are able to better predict the likely outcome of a dispute.

We work with you to enhance your credibility before arbitrators and disciplinary hearing officers. We are able to help the triers-of-fact appreciate perspective – how this one case asserts claims that are inconsistent with the manner in which you have led your overall professional life.

If the matter cannot be settled, we mount strong and creative defenses, whether in arbitration, in disciplinary proceedings or before juries or judges.

Whether as practitioners, arbitrators or teachers, we are intimately familiar with all facets of customer complaints. While we cannot guarantee the outcome of your case, your chances of getting the case dismissed are greatly enhanced by your choosing Kaufmann Gildin to represent you.

We know that your name and reputation are your major assets and the means by which you market your services to customers. Preserving your name and reputation is the central goal when Kaufmann Gildin represents you in customer complaints, arbitrations, FINRA investigations and disciplinary proceedings, and in actions brought by the Securities and Exchange Commission.

The New York Law Journal has stated that the two volume treatise Securities Arbitration Procedure Manual, written by our partner in charge of securities arbitration and broker defense cases, David E. Robbins, is considered “the Bible” in this area of the law. All securities arbitration cases, self-regulatory matters and SEC proceedings at Kaufmann Gildin are personally overseen by Mr. Robbins.