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New York Supreme Court Confirms Former Advisers’ $6.68 Million Arbitration Award, Including Liquidated Damages, For Credit Suisse’s Violation Of The New York Labor Law When It Withheld Deferred Compensation

On July 17, 2020, the Supreme Court of the State of New York (Commercial Division) confirmed a FINRA Arbitration Award against Credit Suisse for approximately $6.68 million, including unlawfully withheld deferred compensation, interest...

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Lax & Neville LLP Wins over $1.2 Million and Expungement of Broker Record in Wrongful Termination Suit

On November 21, 2018, Lax & Neville LLP won a FINRA arbitration award on behalf of a financial advisor (the “Claimant”) against First Republic Securities. A three-person Arbitration Panel rendered the arbitration award valued at $1,202,643.85. The Panel further ruled that the Claimant's U5 language regarding termination be changed to "[Claimant’s] termination was unwarranted". The Claimant asserted violation of...

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New York Securities Arbitration Lawyers

Securities Litigation and Arbitration, Commercial Litigation,
Employment and Investment Law Firm

Lax & Neville LLP was founded in mid-2007 by the merger of the successful and growing law practices of Brian J. Neville and Barry R. Lax. Our law firm is a boutique New York City litigation firm focused on all matters concerning the financial services industry. Our main practice areas include securities arbitration and investment fraud litigation, representing financial services industry professionals on employment, regulatory and business matters, employment litigation, commercial litigation, and bankruptcy litigation. The New York securities arbitration lawyers at Lax & Neville LLP have built a strong reputation nationwide advocating on behalf of individual and institutional investors, industry professionals, employers, independent contractors, brokers, investment bankers, investment advisors, traders, hedge funds and smaller and regional broker dealers in arbitration forums across the country, as well as several state and federal courts.

We remain fiercely independent from, and often times adverse to, the largest financial institutions on Wall Street, including, but not limited to, Morgan Stanley, Merrill Lynch, UBS and Wells Fargo, which are usually represented by the largest and most resourceful internationally recognized litigation law firms. As we are adverse to these globally recognized law firms, it is imperative that our attorneys match and/or exceed the knowledge and expertise of our adversaries in our practice areas. Based on our successful record, we have surpassed that goal as our New York securities arbitration attorneys have litigated and arbitrated hundreds of claims against those financial institutions and their counsel, and have received substantial awards, judgments and/or settlements in our clients’ favor in various forums, including:

  • FINRA, JAMS, AAA and NFA arbitrations;
  • State and Federal Courts; and
  • Regulatory investigations and enforcement proceedings.

What also makes Lax & Neville LLP unique is our ability to represent both investors and industry professionals. At Lax & Neville LLP, our attorneys are highly experienced in the securities and investment markets, and have in-depth knowledge of the governing laws and regulatory framework of the financial services industry. This experience allows our attorneys to represent both claimants (generally, investors and/or employees) and respondents (generally, smaller and regional brokerage firms and investment advisors) in arbitrations, and plaintiffs and defendants in court cases. Our attorneys provide value to our clients through their familiarity with both sides of the legal arguments and litigation strategies. This distinct ability to work on both sides of the aisle keeps us sharp and on the cutting edge of legal developments in the securities and investment industries. Furthermore, our lawyers possess excellent analytical skills and the ability to conceptualize the issues from every perspective. These skills provide the attorneys at Lax & Neville LLP with the foundation needed to successfully advocate for clients in complex cases involving securities, employment, investment and commercial law.

Lax & Neville LLP’s legal team offers decades of combined experience and comprehensive legal services focused on achieving the goals of our clients through strategic negotiation, mediation and complex litigation through trial and appeal, when necessary. Our team is responsive, attentive and values the importance of communication with clients. We always offer clear, honest and reliable feedback to our clients, and will be available to answer any questions that should arise. In every case, we focus on the needs of our clients.

Because we are a boutique securities arbitration, commercial litigation, employment and investment law firm, our New York securities arbitration lawyers are able to provide first-tier representation to our clients on matters that the large litigation firms simply cannot handle in a cost-effective manner. However, even though cost-effective representation is our business model, our clients’ interests are always the focus of our business and unyielding attention. We strive for excellence in everything that we do for our clients. Our firm’s enduring dedication to our clients sets us apart from our competitors. This dedication to our clients and continued belief in our firm are the primary reasons for Lax & Neville LLP’s success.

Contact Lax & Neville LLP for a free initial consultation with an experienced securities, investment, employment and commercial litigation lawyer. We are committed to serving clients nationwide in securities, employment and investment law.

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Contact Us for a Free Consultation
NY: 212-696-1999 / DC: 202-792-0101