Our Work in Investment Securities Arbitration & Litigation

From time to time, investment disputes are almost inevitable in our free-market economy. Whether you are an investor who has lost a substantial portion of your life savings, a financial advisor accused of mishandling investor funds, or an investment firm exposed to an investor or regulatory claim of failing to supervise a financial advisor, you deserve aggressive, quality representation. Gleaves Swearingen has approximately 30 years of experience in successfully representing investors, advisors and investment firms in securities arbitrations, litigations and regulatory investigations and enforcement actions of all varieties. Our experience includes these critical functions:

  • Defending securities brokers and investment advisors in FINRA sponsored arbitration or litigation
  • Representing brokerage and advisory firms in client-driven disputes
  • Bringing claims for individual investors whose funds have been mishandled by their financial professionals
  • Defending insurance, real estate and accounting professionals in errors and omissions claims
  • Protecting financial firms in SEC, State and FINRA investigations and enforcement matters
  • Negotiating and drafting contracts of all sorts for financial firms or investment representatives, including registered representative agreements and investment advisor contracts
  • Assisting financial firms and representatives with most any difficult issue that may arise periodically
We understand the high stakes you face in all of these circumstances and will bring to bear the full measure of our expertise and energy in meeting your needs successfully.

Our Investment Securities Arbitration & Litigation Specialists