Edgewater Securities Lawyers

Highly experienced and certified trial attorney with integrity. Knowledgeable in the areas of malpractice and personal injury. Very professional and is a relentless advocate for his clients. Other lawyers trust him with their cases when they need help. Clients and lawyers can feel confident when they have Ray on their side.

David S. Rich is the founding member of the Law Offices of David S. Rich, LLC. Mr. Rich is a New York City Business Litigation Attorney. Mr. Rich litigates civil, commercial, employment, and securities matters in federal and state courts in New York and New Jersey, and arbitrates such matters before FINRA and other arbitral bodies. Mr. Rich also litigates appeals. Mr. Rich has represented clients in, among other civil and commercial matters, breach of contract actions, business torts cases, bankruptcy and adversary proceedings, civil racketeering actions, oppressed minority shareholder disputes, product liability litigation, franchisor-franchisee litigation, qui tam...

Alexander is a litigation generalist with experience prosecuting and defending a wide variety of civil actions in state and federal courts across New York and New Jersey. Born and raised in northern New Jersey, Alexander hails from a family of lawyers and brings the collective wisdom of their past legal practice experience to bear for the benefit of his friends and clients. A graduate of Duke University and Seton Hall Law School, Alexander received his early legal training and experience at a premier regional law firm before spending several years as an associate with one of America’s largest firms. Alexander started...

Solo attorney in Hoboken, with full practice, catering to the representation of aggrieved investors against brokers and investment firms.

Financial services attorney primarily focused on resolving disputes through securities arbitration before the Financial Industry Regulatory Authority (FINRA), in addition to state and federal court litigation on select securities and consumer matters. On behalf of aggrieved investors, seek recovery of investment losses due to defective financial products or the wrongdoing of a broker or wealth manager. On behalf of securities industry professionals, offer representation on a broad range of matters including broker transitions, compensation-related disputes and employment matters including U5 expungement.

Adam Gana serves as the managing partner of the law firm of Gana Weinstein LLP. His practice focuses on all aspects of securities arbitration. Mr. Gana's experience includes securities arbitration and litigation in various dispute resolution forums including JAMS, NFA and FINRA and litigation in both State and Federal Courts. As lead counsel, Mr. Gana has tried more than forty cases to verdict before the state and federal trial and appellate courts, AAA, and has settled hundreds more cases through mediation and direct negotiation.

Mr. Gana was named in the New York Super Lawyers Rising Stars® for eight straight years (an...

My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 states, have written legal columns for a number of industry publications, been a...

The focus of our practice is the representation of individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, stock fraud, suitability, unauthorized trading, negligence and churning.

I also regularly represent those who work in the financial services regarding recruiting practices including issues relating to the Protocol for Broker Recruiting; non-solicit, non-compete and other restrictive covenants; customer privacy and other regulatory issues; best-practices for preserving a book of business through a transition; Form U5 negotiations; responding to FINRA inquiries; promissory notes; bonus disputes; team disputes; temporary restraining orders (TROs); expedited FINRA arbitrations;...