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Practice Areas

Practice Areas

Advising clients across a wide spectrum of transactional, litigation, arbitration and regulatory matters, our attorneys are veteran securities practitioners familiar with the nuances of this highly-regulated industry and are ready to provide cost-effective and creative solutions to help you achieve your goals with speed and efficiency.

PRIVATE EQUITY FUNDRAISING & COMPLIANCE

Some of Manhattan’s leading private equity firms, middle market private equity investors and hedge funds rely on Kalberer LLP for our counsel and direction. Our lawyers have the experience and knowledge to complete the most difficult transactions.

OUR SERVICES
  • Fund Formation
  • Private Offering Documents
  • Broker and Finder Compensation
  • Digital Currency & Blockchain Technology

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SECURITIES LITIGATION

Securities litigation is a highly specialized area of practice involving the application of complex securities laws and regulations to a wide variety of financial products and market conditions. Our team is experienced in all types of claims involving US securities, public and private, and is comprised of seasoned litigators in some of the most complex and high-profile securities litigation in the country.

OUR SERVICES
  • International Securities Fraud Disputes
  • Shareholder Derivative Actions
  • Class Actions
  • Whistleblower Claims

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FINRA ARBITRATION

Our attorneys have defended the largest broker-dealers on Wall Street in high-stakes FINRA arbitrations involving customer complaints, employment disputes and industry unfair trade practices claims. Our clients include broker-dealers, investment advisors, individual registered representatives, as well as investors and other market participants.

OUR SERVICES
  • Employment Disputes
  • Customer Complaints
  • Industry Disputes

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FINRA REGULATORY PROCEEDINGS

It is essential for registered representatives to maintain their publicly available record with the Central Registration Depositary (“CRD”) with accurate information, since misleading information may cause business interference and potentially jeopardize their employment or registration at the brokerage firm of their choice. Kalberer LLP represents registered representatives and broker-dealers in negotiating Form U-4 and Form U-5 language prior to filing, or in arbitrations seeking expungement of Form U-4s and U-5s containing false or defamatory information.

OUR SERVICES
  • CRD Expungements
  • Enforcement & Disciplinary Action
  • Enforcement & Disciplinary Action

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SECURITIES PROBATE DISPUTES

Our attorneys have extensive experience with securities disputes arising from assets which are subject to probate proceedings, including senior financial exploitation claims such as undue influence and abuse of power of attorney claims brought by beneficiaries and other parties-in-interest. We represent both industry professionals and beneficiaries in such matters, and are well versed in the unique challenges of litigating and arbitrating securities claims stemming from brokerage accounts of deceased investors.

OUR SERVICES
  • Senior Financial Exploitation
  • Power of Attorney Abuse
  • Unsuitable Investments
  • Frozen Brokerage Accounts
  • Undue Influence
  • Securities Fraud

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SENIOR INVESTOR EXPLOITATION

Financial exploitation of senior and vulnerable investors is on the rise and likely to continue as the US population ages and the number of seniors experiencing reduced cognition increases. It is estimated that at least 20% of seniors aged 65 and above have been victims of financial fraud, resulting in losses of more than $2.9 billion annually. Kalberer LLP is committed to helping senior investors and industry professionals end the growing financial exploitation epidemic.

OUR SERVICES
  • Securities Litigation
  • FINRA Arbitration
  • Pro Bono Legal Services

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INTERNATIONAL BUSINESS LITIGATION & DISPUTE RESOLUTION

Clients from around the globe turn to us for advice and counsel in connection with their most challenging and complex cross-border disputes. We are experienced in managing international disputes involving more than one jurisdiction or dispute resolution forum. We have assisted counsel in many other jurisdictions when local cases required a sophisticated understanding of international law.

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REAL ESTATE & LAND USE

We offer a full spectrum of services concerning commercial real estate, leasing and finance.

OUR SERVICES
  • Acquisition & Disposition
  • Private Equity & Joint Venture
  • Real Estate Finance
  • Commercial Leasing
  • Hotel & Hospitality
  • Land Use & Development

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Private Equity Fundraising & Compliance

Fund Formation
Private Offering Documents
Broker and Finder Compensation
Digital Currency & Blockchain Technology

FINRA Regulatory & Expungement Proceedings

CRD Expungements
U4 & U5 Reporting
Enforcement & Disciplinary Actions
Broker Transitions

Securities Litigation

Securities Fraud
Class Actions
Shareholder Derivative Actions
Whistleblower Claims

FINRA Arbitration

Employment Disputes
Customer Complaints
Industry Disputes

Other Practice Areas

International Business Litigation & Dispute Resolution

Real Estate & Land Use

Acquisition & Disposition
Commercial Leasing
Private Equity & Joint Venture
Hotel & Hospitality
Real Estate Finance
Land Use & Development

Senior Investor Protection

Securities Litigation
FINRA Arbitration
Pro Bono Legal Services

Securities Probate Disputes

Senior Financial Exploitation
Frozen Brokerage Accounts
Power of Attorney Abuse