Securities and Employment Arbitration

Doar Rieck Kaley & Mack has represented companies and individual customers and employees in arbitrations before FINRA and previously before the NYSE and NASD. Walter Mack, David Rivera and Amy Rothstein have extensive experience working in-house at large brokerage firms and have defended brokers against numerous customer claims, including fraud, churning, and making unsuitable investment recommendations. Our recent engagements include representing high-ranking individual employees who were accused of violating firm policy, wrongfully terminated from their employment and unfairly denied compensation owed to them.

We handle these matters for our clients in an efficient and cost-effective manner and either reach an acceptable negotiated resolution of the dispute or take the matter to a full hearing before the arbitration panel.

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