Mr. Stone represents
        securities and
        immigration clients
        nationally an
        employment and family
        law clients in New York,
        including New Rochelle,
        White Plains, Larchmont,
        Scarsdale, Bronxville,
        Pelham, Mount Vernon,
        Harrison, Purchase, the
Bronx, Manhattan, Queens, Brooklyn, and Connecticut. 
Toll Free: 866-484-0764
Phone: 914-636-2648
Fax: 866 484-0764

271 North Avenue, Suite 216
New Rochelle, New York 10801


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Westchester & White Plains Securities Attorney

Securities Disputes

The Law Offices of Douglas Stone, P.C. represents clients in securities disputes in arbitration and litigation, including:

Investor disputes 
Securities industry employment disputes
Broker promissory note collections

Mr. Stone also handles contract negotiations, broker transitions, and pre-arbitration dispute resolution.

As a former broker, Mr. Stone understands the securities industry.  As an attorney, he knows how to proceed when clients need advice about potential disputes and can approach your case accordingly.  As an arbitrator, he knows when and how to find appropriate resolutions for disputes.

Securities Arbitration

Disputes between customers and financial institutions may be resolved through securities arbitration.  While arbitration is a straightforward process, securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA).  Read more...

Investor Disputes

Approximately two-thirds of all securities arbitrations are between brokers and clients.  These claims often boil down to issues of suitability—whether or not the broker had a reasonable basis for recommending a security or investment strategy.  Read more..

Securities Industry Employment Disputes

Employment disputes in the securities industry can be costly, time-consuming affairs.  Mr. Stone handles a wide variety of employment disputes, including:

    * Restrictive covenants including non-competition and non-solicitation agreements

    * Broker promissory note collection matters

    * Bonus disputes involving investment bankers, traders, and research analysts

Broker Promissory Note Collections

Broker-dealers rely on Mr. Stone to collect debts from former employees who have failed to repay loans governed by employee contracts, promissory notes, settlement agreements, awards, and judgments. Read more...

Strength from Experience

Whether you need pre-conflict advice or assistance with a dispute, Mr. Stone has the wisdom and securities industry knowledge necessary to provide sound legal advice.  He has more than 20 years of experience in the securities industry as a lawyer and as a broker.  This gives Mr. Stone a unique perspective few other attorneys can offer.  Mr. Stone has tried arbitrations before FINRA, throughout the United States and represents parties in New York courts.

Contact our office today to arrange a consultation with Mr. Stone.

Attorney Douglas Stone has successfully handled securities litigation, securities fraud, broker fraud, immigration, naturalization, visas, green card, employment and divorce
 cases in New Rochelle, Westchester, White Plains, Yonkers, Bronx, Brooklyn, Manhattan, Queens, Rockland County, Long Island and Fairfield County.
Attorney Advertising. Hiring of a lawyer is an important decision that should not be based soley upon advertisements. Before you decide, ask us to send you free information about our qualifications and experience. This web site is designed for general information only. The information presented at this site should not be construed to be formal legal advice nor the formation of a lawyer/client relationship.  

Copyright 2011: The Law Offices of Douglas Stone.  Securities Fraud Attorney. All Rights Reserved.

30 Church Street, Suite 2A, New Rochelle, New York 10801

866-720-3754 | dstone@dougstonelaw.com