Mr. Stone represents securities and immigration clients nationally and employment and family law clients in New York, including New Rochelle, White Plains, Larchmont, Scarsdale, Bronxville, Pelham, Mount Vernon, Harrison, Purchase, the Bronx, Manhattan, Queens, Brooklyn, and Connecticut.
Westchester & White Plains Securities Attorneys
Securities Disputes
The Law Offices of Douglas Stone, P.C. represents clients in securities disputes in arbitration and litigation, including:
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Mr. Stone also handles contract negotiations, broker transitions, and pre-arbitration dispute resolution.
As a former broker, Mr. Stone knows the boundaries of the broker/client relationship. As an attorney, he knows how to proceed when clients need advice about potential disputes and can approach your case accordingly. As an arbitrator, he knows when and how to find appropriate resolutions for disputes.
Securities Arbitration
Disputes between customers and financial institutions may be resolved through securities arbitration. While arbitration is a straightforward process, securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). Read more...
Investor Disputes
Approximately two-thirds of all securities arbitrations are between brokers and clients. These claims often boil down to issues of suitability—whether or not the broker had a reasonable basis for recommending a security or investment strategy. Read more..
Securities Industry Employment Disputes
Employment disputes in the securities industry can be costly, time-consuming affairs. Mr. Stone handles a wide variety of employment disputes, including:
- Restrictive covenants including non-competition and non-solicitation agreements
- Broker promissory note collection matters
- Bonus disputes involving investment bankers, traders, and research analysts
Broker Promissory Note Collections
Broker-dealers rely on Mr. Stone to collect debts from former employees who have failed to repay loans governed by employee contracts, promissory notes, settlement agreements, awards, and judgments. Read more...
Strength from Experience
Whether you need pre-conflict advice or assistance with a dispute, Mr. Stone has the wisdom and securities industry knowledge necessary to provide sound legal advice. His more than 20 years of experience in the securities industry as a lawyer and as a broker have given Mr. Stone a unique perspective few other attorneys can offer. Mr. Stone has tried arbitrations before FINRA, the National Association of Securities Dealers (NASD), and the New York Stock Exchange in cities throughout the United States and represents parties in New York and Connecticut courts.
Contact our New Rochelle office today to arrange a consultation with Mr. Stone about your securities dispute.
