Betts Diplas PLLC represents financial institutions and fintech companies, broker-dealers, investment advisers and managers, and financial advisors in litigation, arbitration, and regulatory proceedings.
For clients in the financial services sector, we handle disputes concerning customer complaints, account management and supervisory issues, trading and valuation practices, contractual and indemnification obligations, Form U4 and U5 disclosures and expungement, executive compensation and transition matters, and employment-related discrimination and harassment claims. We also represent clients in connection with examinations, investigations, and enforcement actions by FINRA and state securities regulators.
We have successfully defended financial institutions and advisors in numerous FINRA arbitrations and secured expungement of customer dispute information from CRD/BrokerCheck. In particular, we have handled arbitrations involving claims for breach of fiduciary duty, negligence, breach of contract, and fraud, arising from allegations of misrepresentation and omission, unsuitability, unauthorized trading, and failure to supervise.
Our industry experience extends across a range of financial products and services, including brokerage and advisory accounts, structured products and private placements, annuities, banking and payment systems, and digital-asset platforms. We also leverage our in-house experience within Morgan Stanley’s Wealth Management division, handling litigation, arbitration, and regulatory enforcement matters before FINRA and state regulators.
Certain matters described above were handled by Michael A. Betts and/or Alexandros Diplas prior to the formation of Betts Diplas PLLC.
