Broker Dealer

Securities Litigation: Broker/Dealer Litigation and Arbitration

The Sessions team has extensive experience handling claims involving broker-dealers, clearing firms, brokers and customers in federal and state courts across the country and before the Financial Industry Regulatory Authority (FINRA), and the American Arbitration Association (AAA). 

Having tried hundreds of cases to verdict over the last 20 years, our team has honed the specific skills necessary to try these cases efficiently and effectively, often with limited discovery mechanisms available in arbitration.

The Sessions  team has handled litigation and arbitrations covering a wide variety of products, strategies and claims, including: Suitability; Churning; Unauthorized Trading; Breach of Fiduciary Duty; Fraud and Misrepresentation; Negligence; Failure to Supervise; Auction Rate Securities; Mortgage Backed Securities; Options; Collaring Strategies; Annuities; Margin; Life Settlements; Alternative Investments; and all types of Stocks, Bonds, and Mutual Funds.

Additionally, as a result of our vast experience in the broker-dealer industry, the Sessions team is often asked to assist firms in conducting internal investigations related to suspicious activity.  The goal is to discover and offer remedial alternatives before the issue becomes an external regulatory action or complaint.

Sessions also has extensive experience representing broker-dealers and brokers  subject to regulatory investigations conducted by FINRA, the United States Securities Exchange Commission, and State regulatory authorities.

Practice Area Leader

• ► David R. Clouston, Dallas

Related Attorneys

• ► Leslye E. Moseley, Dallas
• ► Whitney L. White, Dallas

Recent Highlights

• ► IMPORTANT LEGAL UPDATE: NEW BACKGROUND CHECK NOTICE REQUIRED, EFFECTIVE SEPTEMBER 21, 2018
  September 17, 2018