Business Litigation & Arbitration

Sichenzia Ross Friedman Ference LLP’s Business Litigation and Arbitration Practice Group strives to solve our clients’ problems by providing the most competent, “hands-on”, and cost-effective approach, whether in prosecution or defense of a matter. Our attorneys have the skill, experience and acumen to assist clients with litigation and arbitration matters nationwide from routine lawsuits to complex cases, including multi-district litigation, injunctive actions and arbitration proceedings conducted through the AAA or various self-regulatory organizations such as the FINRA. We provide clients with the unique combination of experienced and skillful representation expected from the largest law firms along with the competitive billing rates and attention from partners often found at smaller boutique law firms.

Sichenzia Ross Friedman Ference LLP has substantial experience in federal and state securities litigation and has a nationwide practice of defending Broker-Dealers, private equity firms, hedge funds and financial industry professionals in regulatory, customer and industry disputes. We also represent public and private corporations, officers, directors, employees and underwriters in securities fraud cases involving federal statutory law and regulations as well as common law claims. We handle cases ranging from straightforward suitability, misrepresentation, churning and unauthorized trading cases, to highly complex cases involving federal and state securities laws, whistle-blower actions and corporate raiding. Given our extensive knowledge and experience in these areas, we have a great deal of success negotiating very favorable resolutions for our clients. We consider our ability to assess the risks of each particular case and to honestly and objectively convey those assessments to our clients to be among our best qualities.

As a full service securities law firm, our attorneys have the unique perspective of understanding a broad array of corporate and securities matters which allows us to react in the most effective way if litigation develops with the SEC, FINRA, other Self-Regulatory Organizations or State Securities Regulators. We represent entities and individuals in enforcement or disciplinary actions, as well counsel clients on Wells Notices and Submissions, subpoena responses, depositions and On-The-Record interviews. We also conduct internal reviews and investigations to gather critical information early in the evaluative process of a matter as well as in connection with the SEC or Self-Regulatory Organization investigation.

Who We Represent

  • Broker-Dealers and Associated Persons
  • Underwriters
  • Public and Private Companies
  • Officers, Directors and Employees
  • Partnerships
  • Placement Agents
  • Individuals
  • Insurance Companies

Services We Provided:

  • Commercial and Business Litigation
  • Securities Litigation and Arbitration
  • Class Action Litigation
  • Administrative Actions before Regulatory Agencies
  • Regulatory Investigations
  • Labor and Employment Litigation

Our attorneys zealously advocate on behalf of our clients. We have litigated against the largest firms in the country, as well as, specialty firms never losing sight that we must, and do, fight aggressively for our clients each and every time. One of the Founding Litigation Partners, Michael H. Ference has been named a New York Super Lawyer in the area of Securities Litigation since 2008 by Law & Politics Magazine. Sichenzia Ross Friedman Ference’s LLP’s Business Litigation and Arbitration Practice Group is proud to be panel attorneys for Chartis Insurance and CNA Insurance, among others. Our attorneys have given presentations to help educate insurance companies on changing laws and regulatory procedures, as well as, having one of its founding members, Marc J. Ross, selected as a Top Ten Lawyer for Chartis Insurance.