Recently, I was asked to review investment account statements for a number of individual investors who were surprised to learn their broker had unexpectedly left the brokerage firm. Or as they say in the business, the broker was “permitted to resign.” My initial review of

After 20+ years of representing individual investors in Wall Street disputes, I have heard hundreds of defense arguments presented by Wall Street attorneys.  Some of the arguments are presented in a reasoned, thoughtful and compelling manner supported by the facts and the law.  Some other