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The lawyers at CASTAYBERT PLLC have handled claims against securities industry professionals, including financial planners, investment advisers, broker-dealers and registered representatives involving a variety of investments including stocks and bonds, ETFs and mutual funds, as well as private placements. CASTAYBERT PLLC provides both investors and investment advisers with focused, cost-efficient representation of complex matters in arbitration and litigation. The range of matters that fall under federal and state securities laws, corporate and banking laws include: federal and state securities litigation; FINRA dispute resolution arbitrations; SEC investigations and proceedings; FINRA enforcement and regulatory investigations; shareholder derivative litigation; accounting fraud allegations; claims arising from stock acquisitions and other corporate transactions. Back