Securities Litigation and Arbitration

BCRH LLP is nationally recognized for its securities litigation and regulatory practice. We represent clearing firms, brokerage firms, investment advisers, and their associated persons before state and federal courts, arbitration panels, and regulatory bodies throughout the United States. Our clients include nationally and regionally recognized financial institutions and investment companies.

The firm regularly represents brokerage firms, clearing firms, and investment advisers in securities and investment-related arbitrations conducted before self-regulatory organizations such as Financial Industry Regulatory Authority (FINRA), as well as in private forums including the American Arbitration Association (AAA). We defend claims involving statutory violations, fraud, unsuitability, misrepresentation, and churning, among other allegations, arising from the purchase and sale of securities or the provision of investment advisory services. We maintain strong relationships within the securities industry and have achieved a high level of success on behalf of our clients through alternative dispute resolution, including mediation.

In addition, we have extensive experience with post-arbitration petitions to vacate awards. BCRH LLP has also developed a significant practice representing independent broker-dealers, registered investment advisers, and their associated persons in formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission (SEC), FINRA, state securities regulators, and state attorneys general.

We also assist clients with the formation, registration and operation of broker-dealers and investment advisers, the transfer and ownership of existing firms, and firm and individual licensing with various state regulatory agencies, the SEC, and FINRA.

In performing these services, we advise clients on industry protocols and agreements, internal policies and practices, and the development of compliance manuals and supervisory procedures tailored to each firm’s business model—all designed to ensure compliance with applicable laws and regulations and to minimize the risk of customer disputes or regulatory inquiries.