Securities Litigation and Arbitration

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Marks Gray is proud to have represented some 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 financial consultant non-compete agreements, enforcement of arbitration agreements and other regulatory and compliance matters.

Our founding partner Sam Marks (1885-1973) was a childhood friend of Charles E. Merrill, a founder of Merrill Lynch, Pierce, Fenner & Smith, Inc. and, consequently, the firm 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 occasion, the firm has represented individual customers in securities-related disputes.

Our attorneys appear in all Florida state 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.

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