Michael J. Charlillo

Michael focuses his practice on securities litigation and business litigation. He routinely represents broker-dealers and registered representatives in arbitrations before the Financial Industry Regulatory Authority (FINRA) involving customer claims of fraud, unsuitability, churning, excessive mark-ups, mismarked trades, failure to supervise, and violations of state and federal securities laws. Michael also represents and advises these clients during investigations and enforcement actions by FINRA, the Securities and Exchange Commission, and state securities regulators involving issues such as compliance with industry regulations regarding disclosure, recordkeeping, licensing, registration, and supervision.

On the industry side, Michael regularly defends broker-dealers against defamation claims and requests for expungement brought by former registered representatives arising from information reported to FINRA on a Form U5. In his business litigation practice, Michael frequently represents businesses in employment disputes, including in matters involving enforcement of restrictive covenants.