Securities Arbitration Attorneys Representing Defrauded Investors In New York And Nationwide

Last updated on January 30, 2026

Every case of merit is predicated on a trust relationship between a customer and a broker. When that trust is breached by a broker’s misconduct – whether intentional, negligent or reckless – the resulting financial damage can be devastating. These losses are almost always recoverable only through arbitration, not litigation.

In the arbitration forum, unlike traditional litigation, an appeal of an adverse decision is available only in the rarest of circumstances. You have only one chance – the first chance – to win. Your selection of a firm that focuses exclusively on this area of law is a critical decision as a defrauded investor. Because we generally know how the story will end, you benefit directly from our experience.

Determining The Strength And Value Of Your Claim

At Kaufmann Gildin & Robbins, our lawyers evaluate the merits of your case to determine the objective likelihood of success. Based on decades of experience representing customers and serving as arbitrators and mediators, we provide a candid assessment of your options:

• We determine if your case of merit should be filed with FINRA Dispute Resolution Services or the American Arbitration Association.
• We evaluate if the court system remains a viable option to redress your grievances.
• We advise you honestly if pursuing a claim would be “throwing good money after bad.”

In most instances, our evaluation of a potential case will not cost you any legal fees. It may be necessary, however, to incur limited expert witness fees to analyze the trading in your account. All independent expert witnesses we utilize have been qualified by arbitration panels and courts. We maintain no financial relationship with any of them to ensure their testimony remains objective.

Strategic Partnership And Industry Intelligence

Because of our unique access to information and knowledge of the securities industry, the evaluation stage is efficient, yet it remains the most important stage. Once you retain us, our team works with you as a partner. We consult with you and keep you apprised throughout the process, so you are never in the dark about your case’s developments.

Our experience in securities arbitration across the country allows us to access an elite nationwide group of professionals. This gives the defrauded investor a distinct advantage:

• Arbitrator analysis: We learn about the potential pool of arbitrators and how they have decided similar cases.
• Industry insight: We tap industry contacts to learn about the “unwritten rules” and practices of a particular firm.
• Senior oversight: Our partner in charge of securities arbitration has written or edited most of the law books in this field. Adversaries and arbitrators know him for his honesty, tenacity and ability to judge the merits of a case.

This multifaceted approach helps leverage every nuance of the brokerage industry to strengthen the presentation of your claim.

Counsel From The Author Of “The Bible” Of Securities Law

The New York Law Journal has stated that the two-volume, 4,600-plus-page treatise Securities Arbitration Procedure Manual, written by our partner David E. Robbins, is considered “the Bible” in this area of the law. Mr. Robbins personally oversees all securities arbitration cases at Kaufmann Gildin & Robbins.

Our recognized skills are further evidenced by our professional standing:

• The majority of our referrals come from other attorneys.
• We are frequently asked to take over complex cases already in progress.
• Our securities arbitration attorneys offer flexible retention on an hourly, contingency or blended fee basis.

By providing counsel that literally defined the standards of the field, we offer defrauded investors a level of authoritative representation that is virtually unmatched in the Tri-State area or nationwide.

Comprehensive Experience In Recovering Your Losses

Because these cases are so fact-intensive, your cooperation is necessary to increase the chances of a successful outcome. We have represented customers in practically all types of securities arbitration disputes, including:

• Material misrepresentations, omissions and churning
• Unsuitable trading and unauthorized trading
• Breach of fiduciary duty and breach of contract
• Order failure and market manipulation
• Ponzi schemes and outright theft
• Inappropriate variable annuities and speculative hedge funds

Whether as practitioners, arbitrators, mediators or teachers, we are intimately familiar with the ways a broker can breach your trust. While we cannot guarantee the outcome, choosing Kaufmann Gildin & Robbins to represent you greatly enhances your chances of recovery. More information is available on our Securities website.