PRACTICE AREAS
Investment and Securities Arbitrations
We prosecute and defend customer complaints and inter-brokerage disputes in arbitration for
individuals and local brokerage firms, as well as with the local branches of national firms. This
ever-changing ground for disputes ranges from claims of suitability, churning, negligence,
breach of fiduciary duty, and fraud to issues concerning common and preferred stock
investments, variable annuities, and aggressive/speculative investments.
Representing individual investors, as well as brokerage firms, gives us the ability to effectively
understand the relative strengths and weaknesses of our clients' cases and to maximize the
recovery for individuals while limiting exposure for brokerage firms and their representatives.
We also represent broker/dealers and investment advisors in connection with registration and
licensing issues with the Securities and Exchange Commission (SEC), the Financial Industry
Regulatory Authority, Inc. (FINRA), the Missouri Division of Securities, and other regulatory
agencies, as well as compliance and other issues in the day-to-day operations of brokerage
firms and investment advisors. Additionally, we have acted as attorney and/or trustee for the
liquidation of several brokerage firms at the request of the Securities Investor Protection
Corporation (SIPC).
If you have questions about our practice areas, please do not hesitate to contact one of Moline &
Mehan's attorneys.
Investment and Securities Arbitrations
We prosecute and defend customer complaints and inter-brokerage disputes in arbitration for
individuals and local brokerage firms, as well as with the local branches of national firms. This
ever-changing ground for disputes ranges from claims of suitability, churning, negligence,
breach of fiduciary duty, and fraud to issues concerning common and preferred stock
investments, variable annuities, and aggressive/speculative investments.
Representing individual investors, as well as brokerage firms, gives us the ability to effectively
understand the relative strengths and weaknesses of our clients' cases and to maximize the
recovery for individuals while limiting exposure for brokerage firms and their representatives.
We also represent broker/dealers and investment advisors in connection with registration and
licensing issues with the Securities and Exchange Commission (SEC), the Financial Industry
Regulatory Authority, Inc. (FINRA), the Missouri Division of Securities, and other regulatory
agencies, as well as compliance and other issues in the day-to-day operations of brokerage
firms and investment advisors. Additionally, we have acted as attorney and/or trustee for the
liquidation of several brokerage firms at the request of the Securities Investor Protection
Corporation (SIPC).
If you have questions about our practice areas, please do not hesitate to contact one of Moline &
Mehan's attorneys.
| MOLINE & MEHAN, LLC The Berkley Building 8015 Forsyth Boulevard St. Louis, Missouri 63105 Telephone: (314) 725-3200 Toll Free: 1-866-725-3281 Facsimile: (314) 725-3275 E-mail: info@mehanlaw.com |
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DISCLAIMER: The materials on this website were prepared by Moline & Mehan, LLC for informational purposes only and are not intended to and do not constitute
legal advice. This information is not intended to create, and receipt of it will not constitute, an attorney-client relationship. Readers should not act upon this
information without seeking professional counsel. Please do not send Moline & Mehan, LLC information until you speak with one of our attorneys and obtain
authorization to send information to our firm.
PRIVACY NOTICE: Moline & Mehan, LLC collects no personally identifiable information or identifiable business information about you or your business when you
visit our site unless you choose to provide that information to us.
DISCLAIMER: The materials on this website were prepared by Moline & Mehan, LLC for informational purposes only and are not intended to and do not constitute
legal advice. This information is not intended to create, and receipt of it will not constitute, an attorney-client relationship. Readers should not act upon this
information without seeking professional counsel. Please do not send Moline & Mehan, LLC information until you speak with one of our attorneys and obtain
authorization to send information to our firm.
PRIVACY NOTICE: Moline & Mehan, LLC collects no personally identifiable information or identifiable business information about you or your business when you
visit our site unless you choose to provide that information to us.
MOLINE & MEHAN, LLC Attorneys at Law _________________________ Telephone: (314) 725-3200 Toll Free: (866) 725-3281 |
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