As in-house counsel with BDs and RIAs for more than twenty-years, Rob Moses gained in-depth experience with customer and industry claims resolved through the complaint, arbitration and mediation processes as he was responsible directly, and for supervising other attorneys, on litigation matters. Rob’s experience allows him to effectively represent all parties to the financial services business in a broad range of litigation matters utilizing his working knowledge of applicable standards, laws, rules and regulations.
While many disputes are negotiated to a successful resolution, it is sometimes necessary to file a claim in order to achieve a fair result. Rob can effectively represent individuals and firms in mediation, arbitration and court with respect to cases including the following:
- Customer Claims
- Defamation
- Disputes Over Compensation
- Employment Claims
- Expungement Claims
- Forgivable Loan
- Customer Complaints
- Complaints to Regulators
- FINRA Arbitration Claims
- Industry Disputes
- Mediations
- Non-Compete
- Non-Disclosure
- Non-Disparagement
- Non-Solicitation
- Promissory Notes
- Raiding Claims
- Regulatory Claims
- Terminations
