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Securities Litigation

The Firm has represented a broad spectrum of clients in securities litigation matters, from private investors and shareholders to brokers/dealers, investment banks, corporate investors, issuers, underwriters, trustees and professionals on issues ranging from claims of fraud, sales practice violations, shareholder disputes, issuance and sale of securities, proxy disputes, and drafting then litigating non-compete and non-disclosure agreements, when necessary and appropriate to protect the company's trade secrets.

Our litigators are experienced in these highly specialized practices including:

  • NYSE and NASD securities arbitrations;
  • federal and state commercial litigation;
  • employment and customer disputes, and
  • SEC, NYSE and NASD investigations and enforcement actions.

Representative Matters:

Attorneys Rob Rabinowitz and Vincenzo Mogavero received a favorable award in a FINRA arbitration proceeding for one of the firm’s broker/dealer clients, Morgan Wilshire Securities. The client was sued by a former customer who alleged that the broker engaged in unsuitable recommendations, failed to execute a requested sell order, made negligent misrepresentations in connection with the handling of his brokerage account and failed to supervise the broker. The claimant failed to provide any discovery responses even after the panel entered an order compelling him to produce certain documents.

The firm filed a motion to dismiss the claim and requested an award of counsel fees for Claimant’s failure to comply with the discovery order. In 2009 FINRA revised its rules to strictly limit the filing of motions to dismiss before the presentation of the claimant’s case in chief. The arbitrator’s final award dismissed the case against our client, with prejudice, and granted counsel fees against the claimant.

Name Title Phone V-Card Email Office
Sarah Klein Attorney 212.599.3322 New York
Allen M. Levine Shareholder 954.985.4141 Ft. Lauderdale
Kevin Markow Shareholder 954.985.4174 Ft. Lauderdale
Vincenzo M. Mogavero Shareholder 732.842.1662 Red Bank
Gary C. Rosen Managing Shareholder 954.985.4133 Ft. Lauderdale
Publications