Taking Stock of the Law: Securities Arbitration and Broker Consultations

At Sonneborn, Spring & O’Sullivan, P.C., our experience in the world of securities arbitration makes our attorneys particularly skilled in assisting both customers and brokers with securities industry disputes. That experience also allows us to act as consultants for brokers in regards to their very specialized legal concerns.

Customers/Investors – When securities disputes arise, registered representatives (brokers) and their firms are required to arbitrate those disputes with their customers. This process provides an alternative to going to court, and can be a prompt, inexpensive way to resolve the dispute. But a key factor in successful securities arbitration is having an experienced attorney who is very knowledgeable of the complex world of securities.

Our principal securities arbitration attorney, James L. Sonneborn, not only has years of experience in this field, but also currently serves as co-director of the securities arbitration clinic at Syracuse University.

Brokers – Brokers also face their own challenges, particularly when contemplating a change in employer. Though the motivations for a move – a more profitable offer, unhappiness with a current employer, the desire to work independently – may vary, the legal threats to future financial and employment happiness can be very similar. A broker-dealer often claims that the contacts, clients, and personal information collected by an employed broker are the property of the broker-dealer, making it difficult for the broker to continue his or her business relationships elsewhere.

If you are contemplating a move, the experienced attorneys of Sonneborn, Spring & O’Sullivan, P.C. can provide you with a number of valuable tips and strategies. As consultants, our attorneys provide proactive legal advice that can be crucial for helping you keep client lists and avoid future disputes, and we can also defend you in the event of a legal dispute.

Our Attorneys Can Help

Contact us to speak with one of our attorneys about your legal issues. At Sonneborn, Spring & O’Sullivan, P.C., we believe firmly in responsive, efficient client service, and are committed to exceptional representation and legal advice. We provide securities arbitration services throughout the Central New York region and across the state of New York. We also act as legal consultants for brokers in the North East region, including states such as Pennsylvania, Connecticut, Massachusetts, and Vermont.

If you are seeking more general business law information, please visit our Business Law page, Small Business Assistance page, or Business and Commercial Law Information Center page.