Expertise in FINRA Arbitration and Securities Litigation
Cooney Law, PC represents brokerage firms and individuals in a variety of claims before state and federal courts and FINRA arbitration panels. We have deep experience defending brokerage firms and their registered investment advisors in customer disputes involving:
Misrepresentation and fraud
Failure to supervise
U-4 & U-5 Expungements
The Central Registration Depository (“CRD”) serves an important function in creating transparency for investors and ensuring accountability for rogue brokers and bad actors. Unfortunately, industry requirements made in the name of transparency have had an outsized effect on many responsible financial professionals. Improper or inaccurate CRD reports can have a long term and devastating impact on registered advisors. Cooney Law, PC has extensive experience representing financial professionals seeking expungement of erroneous, false, and defamatory CRD disclosures.