Allman, Kelly & Willner, LLC

Practical Solutions to Complex Legal Problems

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Financial Services and Securities Litigation

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

Lee Allman also has broad financial services industry training and experience, earning his series 7 and 63 licenses and CERTIFIED FINANCIAL PLANNING™ designation.  Lee recently was a Director for Barclays Wealth and Investment Management (Americas) and served on the attorney advisory board for the Commonwealth of Pennsylvania Securities Commission.

Our attorneys have knowledge about industry practices and regulations.  They have experience in dispute resoluton relating 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 breach of the know-your-customer and suitability rules.