Securities Litigation and Regulation

D'Amura & Zaidman, PLLC have handled hundreds of matters through multiple market cycles and regulatory changes, representing companies and individuals in court litigation and alternative dispute resolutions nationally. This includes the dot com bubble, the 2008 financial crisis, and the ensuing regulatory changes.  Our securities practice is primarily focused on FINRA Dispute Resolution arbitrations against broker-dealers and registered individuals, as well as claims in other tribunals against registered investment advisers.

D'Amura & Zaidman, PLLC represent broker-dealers, registered investment advisers and securities registered individuals in industry disputes involving promissory notes, protocol matters, business disputes, trade secret litigation, unfair competition and business disputes.  We also advise firms and investment advisers on transitioning securities and investment advisory business.

D'Amura & Zaidman, PLLC represent industry professionals and firms in SEC, FINRA, state regulatory and SRO investigations and enforcement actions.  We also advise firms on compliance and risk management matters.

D'Amura & Zaidman, PLLC represent individuals and companies in wrongful termination, discrimination, retaliation and defamation matters, and disputes involving employment agreements, non-solicitation and non-compete agreements.  Having represented both sides, D'Amura & Zaidman, PLLC is uniquely qualified to understand these claims from both plaintiff and defense perspectives. D'Amura & Zaidman, PLLC also represent registered persons seeking to expunge their records of wrongfully asserted claims appearing on their CRD.

Working comprehensively in multiple stages of litigation, D'Amura & Zaidman, PLLC represent clients before all types of trial, appellate, regulatory and arbitration tribunals across the United States. D'Amura & Zaidman, PLLC have experience in class actions, employment, real estate, shareholder disputes, officer and director liability, insurance and securities litigation.