Suzanne has over twenty years’ experience in securities-related litigation. Suzanne currently serves on the Panel of Neutrals for the National Association of Securities Dealers (NASD). This posting reflects many hours of study as to the essence of neutrality and the ethical issues incident to serving as a neutral arbitrator. Suzanne has handled many cases, for both plaintiffs and defendants, involving alleged securities fraud and insider trading. Suzanne has handled securities-related disputes such as broker and solicitor employment contracts. As an Arbitrator, Suzanne brings no bias in favor, or against, any party in securities-related cases.
Suzanne understands that securities-related disputes must be determined strictly in accordance with applicable Federal and State Securities law, and in such a way that the regulatory scheme is given full effect. Even though the securities industry is highly regulated, there is still room for equity in securities-related disputes, and Suzanne’s philosophy is premised on fairness, both in process and in the application of law, to all parties to a securities dispute.
As a consultant, Suzanne can help law firms and clients understand, minimize and prevent client risk in securities fraud enforcement litigation or government investigation. Suzanne can help businesses in evaluating their claims under securities fraud statutes and regulations, and in defending appropriate business conduct against such claims.