Investment and Securities Arbitrations
We prosecute and defend customer complaints and inter-brokerage disputes in
arbitration for individuals and local brokerage firms, as well as with the local
branches of national firms. This ever-changing ground for disputes ranges from
claims of suitability, churning, negligence, breach of fiduciary duty, and fraud to
issues concerning common and preferred stock investments, variable annuities,
and aggressive/speculative investments.
Representing individual investors, as well as brokerage firms, gives us the ability
to effectively understand the relative strengths and weaknesses of our clients'
cases and to maximize the recovery for individuals while limiting exposure for
brokerage firms and their representatives.
We also represent broker/dealers and investment advisors in connection with
registration and licensing issues with the Securities and Exchange Commission
(SEC), the Financial Industry Regulatory Authority, Inc. (FINRA), the Missouri
Division of Securities, and other regulatory agencies, as well as compliance and
other issues in the day-to-day operations of brokerage firms and investment
advisors. Additionally, we have acted as attorney and/or trustee for the liquidation
of several brokerage firms at the request of the Securities Investor Protection
Corporation (SIPC).
If you have questions about our practice areas, please do not hesitate to contact
one of Moline & Mehan's attorneys.
Call:
314-725-3200
We prosecute and defend customer complaints and inter-brokerage disputes in
arbitration for individuals and local brokerage firms, as well as with the local
branches of national firms. This ever-changing ground for disputes ranges from
claims of suitability, churning, negligence, breach of fiduciary duty, and fraud to
issues concerning common and preferred stock investments, variable annuities,
and aggressive/speculative investments.
Representing individual investors, as well as brokerage firms, gives us the ability
to effectively understand the relative strengths and weaknesses of our clients'
cases and to maximize the recovery for individuals while limiting exposure for
brokerage firms and their representatives.
We also represent broker/dealers and investment advisors in connection with
registration and licensing issues with the Securities and Exchange Commission
(SEC), the Financial Industry Regulatory Authority, Inc. (FINRA), the Missouri
Division of Securities, and other regulatory agencies, as well as compliance and
other issues in the day-to-day operations of brokerage firms and investment
advisors. Additionally, we have acted as attorney and/or trustee for the liquidation
of several brokerage firms at the request of the Securities Investor Protection
Corporation (SIPC).
If you have questions about our practice areas, please do not hesitate to contact
one of Moline & Mehan's attorneys.
Call:
314-725-3200
MOLINE & MEHAN, LLC Attorneys at Law _________________________ 112 S. Hanley Road, Suite 200 | St. Louis, Missouri 63105 | Telephone: (314) 725-3200 |
MOLINE & MEHAN, LLC
Attorneys at Law
Attorneys at Law
| Office Location: MOLINE & MEHAN, LLC 112 S. Hanley Road, Suite 200 St. Louis, Missouri 63105 Telephone: (314) 725-3200 E-mail: info@mehanlaw.com |
| © 2020 Moline & Mehan, LLC. All rights reserved. DISCLAIMER: The materials on this website were prepared by Moline & Mehan, LLC for informational purposes only and are not intended to and do not constitute legal advice. This information is not intended to create, and receipt of it will not constitute, an attorney-client relationship. Readers should not act upon this information without seeking professional counsel. Please do not send Moline & Mehan, LLC information until you speak with one of our attorneys and obtain authorization to send information to our firm. PRIVACY NOTICE: Moline & Mehan, LLC collects no personally identifiable information or identifiable business information about you or your business when you visit our site unless you choose to provide that information to us. |
112 S. Hanley Road, Suite 200 | St. Louis, Missouri 63105 | Telephone: (314) 725-3200 |
What We Do:
- Business and Transactional Services
- Administrative Matters
- Investment and Securities
Arbitrations/Mediations - Mediation - Dispute Resolution Services
- Corporate Formation
- Mergers and Acquisitions
- Securities - Private Placements
- Securities - Public Offerings
- General Corporate Matters
- Real Estate Transactional Services
- Estate Planning and Probate
- Represent Individual Investors
- Represent Securities Industry Professionals
- CRD Expungements
- Broker Transitions
- Broker Negligence
- Secured and Unsecured Financings
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