AREAS OF PRACTICE

SALES PRACTICE VIOLATIONS
EMPLOYMENT
REGULATORY & ENFORCEMENT
COMPLIANCE
BUSINESS LITIGATION
EXPUNGEMENT

About Us

Saretsky Hart Michaels & Gould PC concentrates on the litigation of securities, investment, business and commercial disputes. Our principal but not exclusive focus is in the securities broker-dealer, investment advisory and insurance industries. As a result, we routinely represent broker-dealers, registered representatives, investment advisers, financial planners, insurance agents, CPAs, corporate directors and officers, and other financial professionals. The firm also regularly represents parties to general business and commercial disputes.

We represent clients in court (Federal and State), in arbitration (before the Financial Industry Regulatory Authority and American Arbitration Association), in administrative proceedings before regulatory (the Securities and Exchange Commission and the States), and self-regulatory (Financial Industry Regulatory Authority) bodies.

The firm’s leaders are especially proud of the many professional accomplishments of the firm’s attorneys. All of the attorneys who have been mentored at the firm for at least three years have been recognized as Super Lawyers or Rising Stars – and there is no greater compliment, or reassurance of excellence, than that.

COURT—Federal and State.

ARBITRATION—Before the Financial Industry Regulatory
Authority and the American Arbitration Association.

ADMINISTRATIVE PROCEEDINGS—Before Regulatory
(the Securities and Exchange Commission and the
States) and Self-Regulatory (Financial Industry Regulatory
Authority) Bodies.

© 2015 SARETSKY HART MICHAELS + GOULD PC