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Stoll Berne attorneys Keith Ketterling and Steve Berman represented a regional broker-dealer in pre-litigation resolution of claims arising out of the broker-dealer’s agent’s sales of securities.
Learn MoreSteve Berman successfully defended a regional broker-dealer in a breach of contract and various tort claims brought by a terminated financial advisor.
Learn MoreStoll Berne attorney Keith Ketterling defended a broker-dealer against an investor’s allegations that improper investments had been made given his investor risk profile and that his account had been churned.
Learn MoreKeith Ketterling represented a regional broker-dealer in defending securities fraud claims by investors that exceeded $20 million.
Keith Ketterling currently represents two prominent real estate investment companies in the Pacific Northwest.
Keith Ketterling has represented a national broker-dealer in numerous actions against former brokers acting in violation of noncompetition and nonsolicitation agreements.
Keith Kettering represented a broker in a significant disciplinary administrative proceeding in FINRA in which the regulators sought a full suspension for nearly one year against the client.
Keith Ketterling has represented, on numerous occasions, select clients sued as underwriters in securities class actions.
Keith Ketterling defended a registered investment advisor in arbitration against claims by a former customer seeking $3 million.
Keith Ketterling represented a national broker-dealer in defending against contract and intentional interference claims by a broker seeking $18 million in damages.
Stoll Berne attorneys Keith Ketterling and Steve Berman represented a regional broker-dealer in pre-litigation resolution of claims arising out of the broker-dealer’s agent’s sales of securities.
Steve Berman successfully defended a regional broker-dealer in a breach of contract and various tort claims brought by a terminated financial advisor.
Stoll Berne attorneys Keith Ketterling defended a broker-dealer against an investor’s allegations that improper investments had been made given his investor risk profile and that his account had been churned.