Representing the Defrauded Investor

Every case of merit is based on a trust relationship between a customer and a broker that is breached by the broker’s misconduct, whether that misconduct is intentional, negligent or reckless. That breach can result in devastating losses, losses almost always recoverable only through arbitration, not litigation. And in arbitration (unlike 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. As a result, you simply cannot afford to hire a law firm that does not specialize in this area of the law.

We generally know how the story is going to end, so take advantage of that experience.

At Kaufmann Gildin we can evaluate the merits of your case and determine the likelihood of success. Based on our years of experience representing customers and sitting as arbitrators and mediators in these disputes, we are able to tell you whether you would be throwing good money after bad or whether yours is a case of merit that should be filed with FINRA Dispute Resolution or the American Arbitration Association, or whether you have the option to go to court to redress your grievances.

In most instances, the evaluation of a potential case by our firm 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 of the independent expert witnesses we utilize have been qualified by arbitration panels and courts to testify on the subjects involved in your particular case.

Because of our unique access to information and knowledge of the securities industry, the evaluation stage of a case is not time consuming, but it is the most important stage. Once we are retained, our team works with you as a partner in the presentation of your case. That means that you are consulted and kept apprised throughout the case and are never in the dark about your case’s developments.

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 learn about “the unwritten rules” of a particular firm.

Because our senior partner in charge of securities arbitration has written or edited most of the law books in this field, he is known throughout the country – by adversaries and arbitrators – for his honesty, objectivity, tenacity and ability to judge the merits of a case. A customer represented by Kaufmann Gildin has that initial advantage that other law firms simply cannot bring to a dispute.

Our securities arbitration attorneys are retained on an hourly basis, a contingency basis or a blended hourly/contingency fee.

The fact that most of our referrals are from other attorneys and that in many instances we are asked to take over a case in progress speaks to our recognized expertise in this area of the law.

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 kinds of securities arbitration disputes:

  • from material misrepresentations and omissions to churning
  • from unsuitable trading to unauthorized trading
  • from breach of fiduciary duty to breach of contract
  • from order failure to market manipulation
  • from Ponzi schemes to outright theft
  • from inappropriate variable annuities to speculative hedge funds

Whether as practitioners, arbitrators, mediators or teachers, we are intimately familiar with all facets of a broker’s breach of a customer’s trust. While we cannot guarantee the outcome, your chances of recovering your losses are greatly enhanced by choosing Kaufmann Gildin to represent you.

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, David E. Robbins, is considered “the Bible” in this area of the law. All securities arbitration cases at Kaufmann Gildin are personally overseen by Mr. Robbins.