Most stock brokers and investment advisors are dedicated and effective professionals. Nevertheless, a significant number of investors are harmed each year by the negligence of some. When this occurs, we believe it is just and proper for the investor to be appropriately compensated.

Our method of representation makes use of a series of carefully planned steps.

First we gather as much data and information as is available from the client and publicly accessible sources, such as regulatory agencies, securities markets, and published research.

We begin with an in-depth interview with the client to hear the client's perspective and history of the accounts. Our in-house analyst will review the trading activity in the client's accounts from the client's monthly brokerage statements. He prepares a detailed profit and loss report, profiles the trading activity and the nature of the investments and researches the brokers' regulatory history.

The attorneys then review and analyze this information and meet again with the client to offer their initial evaluation of the case, not every case is one which should be pursued. The client and the firm share an interest in pursuing only cases which have merit and which makes economic sense. We believe in clearly communicating our opinion to our clients and value an open exchange of ideas and information.

If the case is one which both the client and the firm agree should be pursued, a demand for arbitration is prepared and filed, usually with the National Association of Securities Dealers (NASD). We are dedicated to providing exceptional legal services and value to our clients. We have the capability of handling any size claim with thorough, efficient and effective representation. Part of our stregth is the fact that we have strong working relationships with some of the very finest recognized expert witnesses and analysts in the securities industry, including persons who formerly worked as brokers, managers, and analysts with regulatory agencies. The availability of these experts adds additional credibility and insight to our representation.

We attempt wherever possible to find ways to arrive at a settlement of each of our client's cases without the necessity of going through an arbitration hearing. Often this can be done either by direct negotiations with the opposing parties or through the use of mediation.

If an arbitration hearing is necessary, we are prepared with the necessary skill, equipment and procedures to effectively and persuasively present our clients to cases with attorneys and staff who have many years of commercial litigation experience.