Practice Areas

• Securities Arbitration and Litigation
• Complex Commercial Litigation
• Employment Disputes Involving Securities Professionals
• Co-Counsel For Attorneys In Securities Arbitration and Litigation Cases
• Expert Witness For Securities-Related Standard of Care Issues and SEC Enforcement Matters

Securities Arbitration and Litigation

The Law Offices of Cary S. Lapidus’ focus is to recover money for its clients who have been the victims of financial adviser incompetence, breach of fiduciary duties or fraud.  The Firm’s work has resulted in a recovery of over $25 million in arbitration awards, judgments and settlements on behalf of more than 100 clients.

Mr. Lapidus is recognized as one of the nation’s most effective litigators in the field of securities arbitration.  For over 20 years he has represented clients in NASD, NYSE and American Arbitration Association proceedings against securities brokerage firms.  He has achieved a monetary recovery, either through an award or settlement, on behalf of his clients in well over 90% of the cases in which he has been retained.  Many of these recoveries have exceeded $1 million.  For a detailed list of these recoveries, please explore the “Case Results” page of this website.  For more information about Mr. Lapidus, please click on the “Attorney Profile” page of the website.  

Among the cases the Firm has successfully handled are cases involving elder financial abuse, unsuitable recommendations, misrepresentation of facts, churning, unauthorized trading, margin abuse, lack of diversification, market manipulation, negligence and breach of fiduciary duty.   

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Complex Commercial Litigation

We represent clients in a variety of securities-related business disputes, including those involving partnerships, breach of contract, fraud and negligent misrepresentation.  The Firm’s focus in this area is primarily representing individuals and small companies.

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Employment Disputes Involving Securities Professionals

The Firm represents securities professionals in employment disputes against their companies including cases involving compensation disputes, wrongful termination, regulatory matters and Form U-5 issues.   In addition to bringing claims for monetary damages on behalf of professionals against their companies, the Firm has assisted employees in the transition from one brokerage company to another by acting as an interface between the companies.            

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Co-Counsel For Attorneys In Securities Arbitration and Litigation Cases

In many cases, attorneys who need assistance trying a case to its conclusion have called upon Mr. Lapidus to serve as co-counsel.   In some instances, Mr. Lapidus is retained to provide his experience and expertise at mediation sessions and settlement negotiations.  The Firm works with co-counsel on a flexible basis to achieve the best results possible, usually at no additional cost to the client.

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Expert Witness For Securities-Related Standard of Care Issues and SEC Enforcement Matters.

Mr. Lapidus has been retained as an expert witness to advise and testify on matters involving the standard of care of attorneys in securities arbitration cases as well as SEC enforcement and regulatory procedures.

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