Practice Areas

For Investors

Gregory B. Simon Law, LLC represents investors throughout the country who have lost money as a result of the misconduct of their trusted broker. Investment misconduct can take many forms and is often very difficult for the average investor to detect… Read More

Investment Fraud

We have extensive experience dealing with investment-related claims involving fraud, breach of fiduciary duty, unsuitable investments, churning, failure to diversify, alternative investments, unauthorized trading, failure to execute, and failure to s… Read More

Investors FAQs

Answers to investors' frequently asked questions about FINRA arbitration. Read More

For Financial Advisors

Gregory B. Simon Law, LLC represents financial advisors throughout the United States in employment-related disputes and regulatory matters initiated by the SEC, FINRA and other state regulators. Financial advisors work in a highly regulated and comp… Read More

Employment Matters

We have significant experience representing financial advisors in a variety of employment-related matters, including wrongful termination, Form U-5 defamation, expungement actions, promissory notes and employee forgivable loans, and employment transi… Read More

Regulatory Investigations

We represent and defend financial advisors during inquiries, investigations and enforcement proceedings brought by FINRA, the SEC, and various state regulatory agencies. Read More

Financial Advisors FAQs

Answers to financial advisors' frequently asked questions. Read More

For Businesses

Gregory B. Simon Law, LLC represents small and mid-size businesses in a variety of commercial matters and disputes. Gregory B. Simon Law understands the broad impact that a dispute can have on a business and the need for an expeditious and favorable… Read More

Mediation

Gregory B. Simon serves as a neutral mediator predominantly in disputes in the securities industry. Greg is available to mediate a variety of financial-related matters throughout the country, including customer complaints and intra-industry employmen… Read More

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