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Securities Arbitration & Litigation

When it comes to navigating the complex landscape of securities arbitration and litigation, Johnson, Newlon & DeCort stands out as a distinguished boutique commercial litigation law firm in Tampa, Florida, ready to meet your needs. Backed by big law firm experience, our attorneys offer a personalized, hands-on approach to legal representation, ensuring that our clients have direct access to their lawyer and can clearly communicate their needs, goals and concerns. Our renowned securities practice extends beyond the boundaries of Florida and serves clients nationwide, emphasizing responsive and customized legal solutions from highly qualified and experienced attorneys in this complex area.

Who We Serve

At Johnson, Newlon & DeCort, we primarily focus on defending and representing broker-dealers, their associated persons, registered investment advisors, and other professionals in the financial services sector. Unlike other firms that might represent investors, our expertise lies in advocating for financial service entities against customer claims and intra-industry disputes.

Our Expertise in Securities Arbitration & LitigationOur Expertise in Securities Arbitration & Litigation

FINRA Customer Arbitration

We have an established track record in defending broker-dealers in Financial Industry Regulatory Authority (FINRA) Customer Arbitration cases. Our attorneys are skilled in managing allegations of negligence, misrepresentation, and breach of fiduciary duties, among others.

FINRA Industry Arbitration

Our firm also has extensive experience in handling intra-industry disputes through FINRA’s Industry Arbitration process. This includes representing broker-dealers and associated persons in their professional interactions, dispute resolutions, and legal defenses.

Regulatory Inquiries and Investigations

Being subject to a regulatory investigation can be a daunting experience. Our attorneys are adept at representing financial services firms in regulatory investigations, On-the-Record (OTR) examinations, and inquiries led by regulatory bodies.

Employment Disputes

In addition to securities arbitration and litigation, we offer legal services for employment-related issues ranging from wrongful termination and FINRA Form U-5 defamation to raiding, promissory note collection, and expungement requests.

Other key areas of our dedicated securities arbitration and litigation practice include:

  • Breach of Fiduciary Duty
  • Churning
  • Selling Away
  • Statutory Securities Claims
  • Suitability
  • Unauthorized Trades
  • Raiding and Broker Transition Cases
  • Securities Regulation Best Interest (Reg BI)
  • Representation of Certified Financial Planners before CFP Board

Why Choose Johnson, Newlon & DeCort for Securities Arbitration & Litigation

Our deep-rooted understanding of complex financial laws and regulations places us in a unique position to provide top-tier legal services to broker-dealers in Florida and nationwide. What truly sets us apart, however, is our dedication to personalized service. Our firm is purposely designed to be nimble, responsive, and deeply attuned to the unique needs of each client.

As experts in securities arbitration & litigation, we prioritize transparent communication, rigorous preparation, and strategic thinking, creating a strong defense strategy that aligns with your specific needs. Our attorneys are not just legal experts; they act as your strategic partners in navigating the intricacies of securities laws and arbitration proceedings.

For a thorough consultation on how Johnson, Newlon & DeCort can assist you in your securities arbitration & litigation needs, feel free to reach out to us online or call us directly at 813-699-4859. We are committed to delivering solutions that not only meet but exceed your expectations.

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