Scope.
The firm represents investors and issuers in private-placement and broker-dealer matters — Regulation D placement disputes, suitability claims, breach of fiduciary duty in advisory accounts, and selective securities-fraud actions where the underlying facts warrant. The principal holds an LL.M. in Securities and Financial Regulation from Georgetown University Law Center.
FINRA arbitration is a frequent venue. The firm does not handle high-volume class actions and does not represent issuers in public-offering matters.
Representative Engagements.
- Regulation D private-placement investor-fraud action in federal court.
- FINRA arbitration on behalf of a retail investor against a registered broker-dealer.
- Suitability and breach-of-fiduciary-duty matter involving an advisory-account portfolio.
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How engagements proceed.
Engagements begin with a confidential intake conducted personally by the principal. A brief written matter summary follows. Where the firm proceeds, the engagement letter sets a defined initial scope — typically through pleadings or early discovery — with milestones at which fee and strategy are jointly reassessed.
The firm communicates by direct phone and email. Document exchange is conducted through encrypted channels. Inquiries receive a substantive response within one business day.
Fee arrangements.
The firm offers hourly representation with monthly caps, fixed-fee engagements for defined matter phases, and hybrid contingent structures where appropriate. The firm does not engage on contingency alone in defense matters.