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