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The securities division of Lubiner & Schmidt functions as a litigation boutique representing both individuals and institutions in securities related matters. Our client base ranges from the largest broker-dealers in the country to small broker-dealers, individual brokers, and broker-dealer customers.
Our attorneys have represented clients throughout the country in:
- Arbitration
- Mediation
- Federal and state court actions
- Regulatory actions brought by the Securities and Exchange Commission
- Investigations by state regulatory agencies and self-regulatory organizations
Our experience includes, but is not limited to, defense against claims of:
- Insider trading
- Churning
- Unsuitability
- Stock market manipulation
- Breach of contract
- Discrimination
- Hostile work environment
The attorneys of Lubiner & Schmidt have also represented clients in several cases of first impression including:
- Whether a broker-dealer customer is liable for defamation relating to a written customer complaint
- The length of time that "time and price discretion exists"
- Securities matters in which criminal conduct is alleged
The attorneys of Lubiner & Schmidt have both prosecuted claims on behalf of our institutional clients and defended broker-dealers, officers, and brokers against securities claims. As a result of litigation brought on behalf of institutional clients against former employees, the Firm has extensive experience litigating employment matters such as hostile work environment, discrimination, and breach of contract.
With more than 25 years of legal experience, the Securities Division is equipped to efficiently handle any matter.
Lubiner & Schmidt has a strong commitment to work within the budget constraints of our clients. We provide General Counsel legal functions for many small broker-dealers. We also represent individual brokers when a conflict of interest arises with their employer.
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