Services

Todd Ratner PLC represents full-service firms, bank-channel broker-dealers, independent contractor broker-dealers, registered investment advisers, clearing firms, and individuals in all manner of sales practice and investment-related complaints.

The Firm also handles employment claims (including disputes over commissions, promissory notes, and deferred compensation) between firms and brokers, as well as regulatory investigations and administrative proceedings before the SEC, SRO’s, and state agencies.

The Firm handles matters filed in arbitration or in court, as well as pre-arbitration complaints and demands.  In addition, Todd is a frequent speaker on securities topics in workshops and seminars regarding  various aspects of the constantly changing regulatory environment.