- FINRA Arbitration
- Securities Fraud
- Dodd-Frank Whistleblower Claims
KHK offers litigation advice and representation to securities brokers-dealers, advisors, financial planners, insurance agents, corporate directors and officers. Our work spans the spectrum of litigation, arbitration, regulatory, administrative proceedings, enforcement actions, and criminal investigations and proceedings in this complex arena of law and regulation.
The financial services industry is highly regulated. We are frequently asked to assist our clients in navigating the often treacherous maze of securities statutes, rules and regulations imposed by our federal and state governments, governmental agencies and industry self-regulatory organizations.
Our attorneys have significant experience in federal and state courts, and before NYSE, NASD and AAA panels. We routinely bring and defend claims for federal and state securities law violations, common law fraud, breach of fiduciary duty, negligence, breach of contract, tortious interference, employment discrimination, defamation, and business corporation act violations.