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Who We Are :

The attorneys at Eppenstein and Eppenstein, securities, commodities and hedge fund fraud lawyers, have extensive experience representing investors in actions against securities and commodities brokers and broker dealers. We have successfully recovered millions of dollars in assets for investors. We are qualified to represent your interests whether you are national or international investors or creditors in securities fraud and commodities fraud matters.

Eppenstein and Eppenstein is a respected New York-based securities fraud and commercial litigation law firm with a global practice, widely known nationally and in the international community for protecting the rights of defrauded investors and businesses, as well as for obtaining record-setting arbitration awards for our clients. The firm's Securities Law Arbitration website traces our 25 year history of successful representation of investors. Contact us today to discuss your potential claims.

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Regulators Rile Securities Industry – They Must Be on the Right Track

January 27th, 2006 by Theodore Eppenstein

This week The New York Times quoted the Securities Industry Association’s support for a consolidation of the enforcement departments of self-regulatory organizations, including the NASD and NYSE. The SIA even wants the right to have a seat on the board of this single market regulator. Read the rest of this entry »

Posted in Securities Arbitration & Litigation

The Broker’s Background: The Investor’s Right to Know – Part I

January 24th, 2006 by Theodore Eppenstein

Brokers Win $14 Million Arbitration Award

Merrill Lynch lost a $14 million arbitration in which the firm was found to have defamed three of its brokers, causing economic and other injury, by making public in an industry filing (and elsewhere) the ostensible reasons for their termination of employment by Merrill. Merrill stated in defense of its actions that such reporting is in “the best interests of investors, who deserve clear explanations as to why a financial advisor was terminated” (as reported in the Wall Street Journal on January 6, 2006). As it turns out, the termination of employment in this case was wrongful, according to the arbitrators. Nevertheless, investors have a right to access full and accurate information about their brokers. Read the rest of this entry »

Posted in Securities Arbitration & Litigation