Fort Lauderdale Broker-Dealer and FINRA Arbitration Attorneys

Kahn & Resnik, P.L. is experienced in a wide range of cases involving broker-dealer disputes. Fort Lauderdale securities attorney Howard Kahn, Esq., represents individuals and companies before the U.S. Securities and Exchange Commission (SEC), in arbitration before the Financial Industry Regulatory Authority, Inc. (FINRA), and other regulatory bodies.

Our clients include:

  • Brokerage firms
  • Individual investors
  • Institutional investors
  • Officers and directors
  • Registered investment advisors
  • Registered representatives

With over 20 years of legal experience representing Wall Street investment firms as well as individual investors, Mr. Kahn can help you determine your best course of action in a broker-dealer dispute. We can assist you in matters involving but not limited to:

  • Enforcement proceedings
  • FINRA arbitrations
  • Internal and external investigations
  • Litigation
  • Mediation
  • Regulatory investigations
  • SEC matters
  • State regulatory actions
  • Transaction execution

The broker-dealer disputes we handle frequently involving the following types of alleged misconduct:

  • Churning or excessive trading
  • Failure to diversify
  • Failure to follow instructions
  • Failure to supervise
  • Failure to protect profits
  • Fiduciary liability
  • Forged account statements
  • Front running
  • Fraudulent asset transfers
  • Misrepresentations
  • Ponzi schemes
  • Unauthorized trading

Schedule an Initial Consultation

Contact us online or by phone at 954-321-0176 to discuss your legal needs. We will answer your legal questions in complete confidentiality, and explain how our concierge philosophy places us at your service.

We serve business owners, professionals and individual clients across Florida, including Miami, Fort Lauderdale, Boca Raton, West Palm Beach, Naples, Orlando, Tampa, Daytona Beach, Jacksonville, Tallahassee, and other cities throughout the state.