Practice Area
Defense Counsel for Brokers, Advisors, and Financial Professionals
Morris Duffy Alonso Faley & Pitcoff provides strategic defense to individuals and entities involved in securities litigation, regulatory enforcement actions, and industry disputes. Our attorneys represent clients across the financial services sector, including registered representatives, investment advisors, traders, broker-dealers, and managers in both civil and regulatory forums. We handle matters in state and federal court, FINRA arbitrations, SEC and DOJ investigations, regulatory and licensing proceedings, and internal investigations and compliance reviews.
Our securities litigation team regularly defends claims involving breach of fiduciary duty, misrepresentation or omission of material facts, unsuitable investment recommendations, churning and excessive trading, fraud under Rule 10b-5, insider trading allegations, failure to supervise and compliance violations, and enforcement actions by the SEC, DOJ, or FINRA. We also provide counsel during pre-enforcement investigations, Wells notices, and subpoena responses, helping clients mitigate risk before formal charges are filed.
Securities litigation often threatens not just financial penalties, but professional reputation, licensure, and long-term viability in the industry. Our attorneys work quickly to evaluate exposure, formulate defenses, and pursue dismissals, favorable settlements, or successful arbitration outcomes. Whether handling a complex class action, defending an individual advisor, or responding to parallel civil and regulatory inquiries, MDAFP delivers the experience and discretion these cases demand.