Fran is an experienced attorney practicing in the area of commercial and complex litigation. He represents securities and financial services industry clients, including banks, broker-dealers, registered representatives, investment advisors, and financial planners, in state and federal courts, as well as in arbitration proceedings administered by the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association.
As a practicing lawyer for more than 20 years, his skills and experience have been critical in helping resolve countless disputes on an individual and industry-wide basis. He has represented clients in all forms of litigation in court and in arbitration with more than 30 arbitration awards and numerous court decisions to his credit.
Some of the matters he has handled include:
- Defense of broker/dealers and registered individuals in multiple investigations and enforcement actions by state securities regulators regarding alleged violations of the “do not call” registry.
- Defense of broker/dealer and registered representative in FINRA Dispute Resolution arbitration proceeding alleging breach of fiduciary duty regarding beneficiary designation; obtained award of no liability.
- Lead counsel in jury trial to verdict in action in New York County Supreme Court/Commercial Division involving claims and counterclaims arising out of a LLC membership redemption agreement.
- Representation of broker/dealers and registered representatives through final award in multiple FINRA Dispute Resolution arbitration proceedings involving promissory notes, indemnification, and commission disputes.
- Defense of broker/dealer and registered individuals in three-week administrative hearing brought by FINRA Department of Enforcement regarding the sale of mortgage-backed securities to retail investors.
- Defense of broker/dealers and registered individuals in multiple arbitrations, investigations, and regulatory enforcement actions regarding sales practices and supervisory issues.
Fran is licensed in New York and Florida. He is AV Peer Review Rated by Martindale-Hubbell and is board certified by the Florida Bar in business litigation. He has been invited to speak on various occasions to industry groups on topics including broker/dealer compliance and arbitration, and currently serves as the co-chair of the Securities & Exchanges Committee of the New York County Lawyers Association.