At AK&W, our attorneys have counseled financial institutions, broker-dealers, financial and investment advisors, insurance companies, pension funds, non-profit organizations, issuers, and investors on various securities and investment matters, as well as related industry proceedings. With years of experience in securities industry arbitrations, we have handled a wide range of alleged sales practice violations involving investment and financial advisors, and broker-dealers. This includes serving as first-chair arbitration counsel in hearings across the United States, including in Philadelphia, Chicago, New York, Utah, Texas, and Florida.

Lee Allman also brings broad financial services industry experience, having earned his Series 7 and 63 licenses and CERTIFIED FINANCIAL PLANNER™ designation. Lee recently served as a Director for Barclays Wealth and Investment Management (Americas) and was a member of the attorney advisory board for the Commonwealth of Pennsylvania Securities Commission.

Our attorneys are well-versed in industry practices and regulations, with experience in resolving disputes related to allegations of: insider trading and market manipulation, material misrepresentations and omissions, churning, concentration, margin account violations, failure to supervise, unauthorized trading, misrepresentations, undisclosed conflicts of interest, selling away, front running, elder abuse, mishandling of employee stock options, failure to supervise, and breaches of the know-your-customer and suitability rules.