SECURITIES LITIGATION & ENFORCEMENT

FINRA Arbitration

Government Investigations

Enforcement Actions

Focused, Detailed, and Goal-Oriented.

Marini Pietrantoni Muñiz attorneys have defended clients in multiple high stakes securities matters. While prepared to take cases to trial or final hearing, we pride ourselves in reaching favorable and early results. In keeping with our firm’s mission, we strive to achieve the best possible results for our clients.

 

Our practice areas include:

 

  • Financial Industry Regulatory Authority (FINRA) Arbitration

  • Government Investigations

  • Enforcement Actions

 

Our attorneys have represented clients in different securities matters, including class actions, derivative suits, and individual arbitration claims. We’ve represented broker-dealers and financial institutions in different administrative and investigative proceedings before the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), as well as in securities’ related discovery before governmental agencies in formal and informal investigations. We have also represented clients before the state and federal courts in Puerto Rico in securities related litigations, as well as in multiple individual arbitration claims filed before FINRA.

 

Representative subject areas include, among others, claims alleging misrepresentation, fraud, unsuitability, churning, unauthorized transactions, supervision, and product failure.