SECURITIES LITIGATION
The lawyers at Moulton & Wilson, LLP have represented thousands of investors, financial advisors, and investment firms in almost every type of securities litigation. Cindy Moulton and Mike Wilson have successfully recovered hundreds of millions of dollars for investors. We have handled court cases, arbitration proceedings, and regulatory matters involving claims for breach of fiduciary duty and self-dealing, excessive fees, fraud and misrepresentation, failure to disclose material facts, improper allocation and failure to diversify, trustee mismanagement, unauthorized trading, unregistered securities, and unsuitability.
FINRA ARBITRATIONS
Moulton & Wilson, LLP represents investors, brokers and securities firms in FINRA arbitrations nationwide. FINRA (the Financial Industry Regulatory Authority) regulates broker-dealers doing business in the United States. Disputes between the following persons are generally governed by the FINRA rules and FINRA arbitration process:
- Investors and their securities firms;
- Investors and their brokers/registered representatives;
- Registered representatives and their employers (securities firms).
We have handled FINRA arbitrations on behalf of hundreds of investors, brokers, and securities firms.