Trust your FINRA case with a lawyer who worked for FINRA
why choose ian
Ian has litigated securities cases for twenty years. He has worked on the plaintiff’s side, the defense side and as a regulator. This gives him a unique perspective, enabling him to realistically assess the merits of a case and provide no-nonsense advice to clients. He previously served as Senior Enforcement Counsel at FINRA, where he prosecuted disciplinary actions against brokers and broker-dealers for violating FINRA and SEC rules. At FINRA, he handled cases involving misrepresentations, unsuitable investments, supervision, advertising, private placements, anti-money laundering, outside business activities and unauthorized trading.
Ian has extensive experience in private practice. He is currently a partner at Shapiro Haber & Urmy, a national leader in the field of complex, high-stakes litigation which has recovered hundreds of millions of dollars for individuals and businesses across the United States. He was previously an associate at Foley Hoag in Boston. He has successfully litigated high-stakes cases on behalf of both plaintiffs and defendants. These cases involved securities fraud, insider trading, accounting malpractice, consumer fraud and non-competition agreements.
Ian’s litigation and FINRA background make him well-suited to help both investors and registered representatives with either the FINRA arbitration or FINRA enforcement process. He provides excellent client service, particularly in the areas of responsiveness and communication. He is practical and efficient, with a long track record of achieving excellent results.
- High Success Rate in FINRA Cases
- Recouped More Than $15 Million in Losses Incurred by Investors and Consumers
- Previously Served as Senior Enforcement Counsel at FINRA
Call 617.869.4689 to connect with Ian.
High Quality Legal Representation in Securities Disputes
- Investors seeking to recover investment losses from financial professionals and firms in FINRA arbitrations.
- Brokers, broker-dealers and investment advisors in FINRA and SEC proceedings.
- Financial advisors in cases involving non-competes or other restrictive employment covenants.
- Plaintiffs in securities class actions in state and federal courts.
- Whistle-blowers who file tips with the SEC alleging violations of the securities laws.
schedule a consultation
What it’s Like to Work With Us
connect with us
If you are looking for high quality legal representation from an experienced securities lawyer in a FINRA, SEC or court proceeding, please contact us using the form below or call us at 617.869.4689.