Financial Services Industry Litigation

With a member who is himself a FINRA arbitrator, Matasar Jacobs is one of the most experienced law firms in the region at defending broker/dealers firms, RIAs, life insurance companies and their people in civil litigation and arbitration. We regularly represent clients throughout the Midwest and around the country on matters including:

  • Investigating alleged breaches of suitability rules and other sales practice violations
  • Defending firms and advisors in FINRA customer arbitrations
  • Litigating FINRA intra-industry business disputes on behalf of both claimants and respondents
  • Form U4/U5 Expungement and other employment-related matters
  • Defending carriers and agents in life insurance product litigation
  • Representing advisors in white collar criminal matters