Securities Litigation and Arbitration
Marks Gray is proud to have representedsome of the nation’s most prominent broker deals in a variety of litigation and non-litigation organizational matters, including defense of customer complaints, defense of employment disputes, enforcement of finalincial consultant non-compete agreements, enforcement of arbitration agreements and other regulatory and compliance matters.
Our founding partner Sam Marks (1885-1973) was a boyhood friend of Charles E. Merrill, a founder of Merrill Lynch, Pierce, Fenner & Smith, Inc. and consequently the firm has represented Merrill Lynch for many years. Today, the firm represents not only Merrill Lynch but also several other national and regional broker dealers. The firm also represents individual financial consultants in defending customer complaints, in employment matters, and in registration and regulatory issues relating to customer complaints. On occassion the firm has represented individual customers in securities related disputes.
Our attorneys appear in all Florida sate and federal courts, and throughout the country in arbitration proceedings before FINRA and the NYSE. The head of our securities practice, Nick Pulignano, Jr., also serves as a panel arbitrator for FINRA and AAA. Marks Gray is a memeber of the Securities Industry Association – Law and Compliance Division.