The firm represents brokerage firms, brokers, and individual customers in federal and state court, before the National Association of Securities Dealers ("NASD"), the New York Stock Exchange ("NYSE"), and in other arbitral venues in all matters arising from the purchase and sale of securities and investments. The products in issue include bonds, bond funds, collateralized mortgage obligations, closed-end funds, commodities, common stocks, derivatives, equity-indexed annuities, fixed annuities, foreign currencies, government securities, high-yield instruments, insurance-related products, mutual funds, new issues, options (equities and index), partnerships, private placements, unit trusts, and variable annuities. Often in issue is the propriety of complex investment strategies involving futures, hedging, margin, stock options, reverse-repo contracts, straddles, and a variety of other investment techniques.

The legal theories of liability and remedies sought arise under the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Investment Advisers Act of 1940 , the Investment Company Act of 1940 , the Florida Securities and Investor Protection Act, the Florida Civil Theft statute,

the Florida Abuse of the Elderly statute, and common law claims for fraud, misrepresentation and omission, negligence, negligent supervision, breach of fiduciary duty, and breach of contract. The claims often involve allegations of churning, conversion, embezzlement, failure to diversify, failure to execute orders or to follow instructions, failure to hedge, forgery, front-running, market manipulation, suitability, over-concentration, theft, and unauthorized trading.

The firm has experience with foreign finder issues, claims involving offshore investors, and other matters arising from international brokerage accounts and transactions.

The firm also handles collection of debit balances, processing of garnishment claims, and resolution of clearing disputes.

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