Lax & Neville LLP

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Today: 8:30 am - 5:00 pm

Tomorrow: 8:30 am - 5:00 pm

17 Years

in Business

(212) 696-1999Call Visit WebsiteVisit Website Map & DirectionsDirections1450 BroadwayNew York, NY 10018 Write a ReviewWrite Review

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Regular Hours

Mon - Fri:	8:30 am - 5:00 pm

Lax & Neville LLP

Fraud
At Lax & Neville LLP, our securities arbitration and investment fraud practice is staffed by seasoned trial lawyers and focuses on serving our clients in all respects. Our securities arbitration and investment fraud practice focuses on resolving securities and investment disputes through federal, state and appellate court litigation, negotiation, mediation, or in arbitration before the Financial Industry Regulatory Authority, Inc. (“FINRA”), the American Arbitration Association (“AAA”), and JAMS. Lax & Neville LLP represents our clients in a timely and cost-effective manner in various securities arbitrations and investment fraud litigation matters including...

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Long Island City (3 miles)
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Union City (4 miles)
Astoria (5 miles)
Jersey City (8 miles)
Jackson Heights (9 miles)
Elmhurst (9 miles)
Brooklyn (12 miles)
Forest Hills (12 miles)
Flushing (14 miles)

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Email

Extra Phones

Phone: (212) 566-4531

Phone: (646) 861-7205

Phone: (646) 792-0304

Phone: (212) 398-2539

TollFree: (800) 427-2773

Location

Empire State Bldg

Neighborhoods

Theater District, Midtown Manhattan, Koreatown

AKA

Neville Brian

Lax Barry R

Other Links

http://www.laxneville.com

https://www.laxneville.com

Categories

Attorneys, Bankruptcy Law Attorneys, Bankruptcy Services, Business Law Attorneys, Business Litigation Attorneys, Construction Law Attorneys, Corporation & Partnership Law Attorneys, Criminal Law Attorneys, Domestic Violence Attorneys, Employee Benefits & Worker Compensation Attorneys, Employment Discrimination Attorneys, Labor & Employment Law Attorneys, Legal Service Plans, Patent, Trademark & Copyright Law Attorneys

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Phone: (212) 696-1999

Address: 1450 Broadway, New York, NY 10018

Website: http://www.laxneville.com

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Lax & Neville LLP

Fraud
At Lax & Neville LLP, our securities arbitration and investment fraud practice is staffed by seasoned trial lawyers and focuses on serving our clients in all respects. Our securities arbitration and investment fraud practice focuses on resolving securities and investment disputes through federal, state and appellate court litigation, negotiation, mediation, or in arbitration before the Financial Industry Regulatory Authority, Inc. (“FINRA”), the American Arbitration Association (“AAA”), and JAMS. Lax & Neville LLP represents our clients in a timely and cost-effective manner in various securities arbitrations and investment fraud litigation matters including...
Theft
Embezzlement
Criminally Fraudulent Activity: Some misconduct by investment advisors is punishable by both criminal and civil statutes. An example of this is called “trading away.” In a typical trading away case, the investment advisor has recommended an investment outside of his or her firm. Often this investment is in a stock for a company that he or she controls, which may or may not be involved in a larger fraud, such as a Ponzi scheme. Other examples of criminal fraudulent activity include theft, forgery, and embezzlement.
Restraining Order
Comprehensive consultations with retail producers and firms regarding the Protocol for Broker Recruiting and transitions with an eye towards avoiding costly litigation and temporary restraining orders;
Forgery
The registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation or conversion of funds; or

Business and Corporate Law

Corporate Law
Lori Baitarian is an associate at Lax & Neville LLP, with a practice primarily in securities and corporate disputes before the Financial Regulatory Authority, the American Arbitration Association, and state and federal courts.
Mergers and Acquisitions
Mr. Moses served for eighteen years as General Counsel, Sr. Vice President and member of the Board of Directors of First Allied Securities, Inc., an independent broker-dealer and registered investment advisor serving a primarily retail client base through approximately 1,000 independent contractor financial services professionals. Early on in his tenure with First Allied, Rob was responsible for building and managing the firm’s compliance and supervision departments and spent a great deal of time developing and implementing written policies and procedures. Rob’s in-house role brought him in-depth experience with numerous regulatory and enforcement matters before the SEC, FINRA and state securities, investment advisory and insurance regulators, as well as hundreds of customer and industry claims resolved through the complaint, arbitration and mediation processes. Mr. Moses was also responsible for product due diligence efforts through which investment products (alternative investments, mutual funds and annuities) and financial services professionals and firms (third party money managers and other service providers), were reviewed and considered for approval on the firm’s platform. Through this product due diligence work Mr. Moses gained experience with the review and retail offering of products and services available from full-service investment firms. Having been involved in-depth with registrations, mergers and acquisitions within the industry for over 20 years, Rob has developed an informed sense of industry standards and best practices in the registration, regulatory, compliance and supervisory areas of the financial services business.
Business Disputes
International Arbitrations (AAA): An increasingly large amount of commercial disputes are resolved through arbitration. Indeed, the speed, efficiency and privacy of arbitration may make it the preferred method of resolving business disputes, whether they arises internationally or domestically. Our attorneys are familiar with the rules specific to arbitral forums and the governing law. We know how to choose the right tribunal and advocate for our clients through a final hearing.
Trade Secrets
Intellectual Property
Antitrust

Wrongful Termination
Wrongful Termination: Most employees are classified as “at will,” meaning the employee may be terminated at any time, without cause. However, there may be situations where an employee’s termination was unlawful. Sometimes the termination of a financial services professional’s employment is motivated by discrimination or is in breach of their expressed or implied employment agreement. When a professional prevails in their wrongful termination claims, they may receive lost wages, compensatory damages, and other relief.
Employment Discrimination
Sandra represents investors nationwide in customer sales practice disputes against their registered representatives, broker dealers and registered investment advisors in arbitration before FINRA and AAA. In one of her cases, the FINRA arbitration panel awarded her client, a former professional athlete, the full amount of his net out-of-pocket losses, along with the entire amount of the attorneys' fees and all costs requested. Sandra also has experience in general commercial litigations, including cases involving defamation. In a recent case, Sandra successfully defended a well-known New York City restaurant and its manager against claims of age discrimination and defamation by a former employee.
Employment Contract
Lax & Neville LLP has won every claim that it has brought on behalf of former Credit Suisse investment advisers for their portion of the over $200 million of deferred compensation that Credit Suisse refused to pay its advisors when it closed its US private bank in 2015, violating the advisers' employment agreements and the firm's own deferred compensation plans. Lax & Neville has tried eight arbitrations resulting in awards of more than $32 million to 26 former Credit Suisse advisers. See James D. Garrity v. Credit Suisse Securities (USA) LLC, FINRA No. 20-03957; Prezzano et al. vs. Credit Suisse Securities (USA) LLC, FINRA No. 19-02974; Hutchinson et al. vs. Credit Suisse Securities (USA) LLC, FINRA No. 16-02825; Galli, et al. v. Credit Suisse Securities (USA) LLC, FINRA No. 17-01489; DellaRusso and Sullivan v. Credit Suisse Securities (USA) LLC, FINRA No. 17-01406; Lerner and Winderbaum v. Credit Suisse Securities (USA) LLC, FINRA No. 17-00057; Finn v. Credit Suisse Securities (USA) LLC, FINRA No. 17-01277; and Chilton v. Credit Suisse Securities (USA) LLC, FINRA No. 16-03065. Credit Suisse has petitioned to vacate at least seven of the awards on liability or damages and has lost before three different Commercial Division judges of the New York Supreme Court and in the United States District Court for the Northern District of Georgia, Illinois Chancery Court and California Superior Court. In addition, Credit Suisse has lost, unanimously, before the New York Appellate Division (First Department) and the New York Court of Appeals, which denied its Motion for Leave to Appeal.
Employment Litigation
At Lax & Neville LLP, we represent clients in wide array of employment litigation matters. When a workplace dispute arises, both the employee and employer can benefit from seeking legal counsel. Our firm has the experience and skills to effectively represent industry professionals in employment related litigation before state and federal courts, administrative agencies, and alternative dispute resolution forums, such as the Financial Industry Regulatory Authority (FINRA) and the America Arbitration Association (AAA). We are committed to providing efficient, cost-effective and personalized representation of our clients.
Severance Agreement
Financial, Securities, and Investment Professional Severance Agreements: Our team of lawyers represents employees in reviewing their severance agreements and have successfully negotiated with former employers to increase the severance pay being offered.

Construction Litigation
Robert also has broad experience in general commercial litigation, including contracts for the sale of goods under the Uniform Commercial Code, asset- and equity- based business sales, non-competition agreements, partnership disputes, oil and gas disputes, bad faith, fraud, and construction. He has litigated construction disputes involving public contracts, surety and bond issues, and owner-engineer-contractor triangles.

Bankruptcy
At Lax & Neville LLP, our bankruptcy litigation practice is staffed by seasoned professionals and focuses on servicing our clients in all respects. Our expansive bankruptcy litigation practice represents clients in federal district, federal bankruptcy and appellate courts. We represents our clients in a timely and cost-effective manner in various bankruptcy litigation matters including...

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