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$16.6 Million Arbitration Award
$10.4 Million Arbitration Award
$9.5 Million Arbitration Award
$9.0 Million Arbitration Award
$6.68 Million Arbitration Award
$6.1 Million Settlement
$2.7 Million Settlement
$2.3 Million Arbitration Award
Lax & Neville has Won More Than $35 Million for Former Credit Suisse Advisers Seeking Deferred Compensation in FINRA Arbitrations

Lax & Neville LLP has won every claim that it has brought on behalf of former Credit Suisse investment advisers for their portion of the over $200 million of deferred compensation that Credit Suisse refused to pay its advisors when it closed its US private bank in 2015...

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UPDATE: The Court Grants Conditional Certification of an FLSA collective of Bank of America Loan Officers in Unpaid Overtime Lawsuit

On July 26, 2024, the Federal District Court in Charlotte, NC, granted Plaintiffs' motion for conditional certification of a Fair Labor Standards Act ("FLSA") collective of Bank of America ("BOA") loan officers, which allows them to pursue their unpaid overtime claims against BOA on a collective basis...

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Lax & Neville Has Extensive Experience Representing Financial Industry Professionals in Transitions

Lax & Neville LLP has extensive experience representing financial industry professionals transition from one firm to another, including representing some of the largest and most accomplished producers and wealth management and brokerage teams in the industry. In the last two years alone, 2020 and 2021...

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Lax & Neville Pursuing Unpaid Deferred Compensation Claims against Morgan Stanley

Lax & Neville LLP has extensive experience successfully pursuing deferred compensation claims in FINRA arbitration, including claims under ERISA. Over the past several years, for example, this firm has won more than $35 million in unpaid deferred compensation, interest, and costs and attorneys'...

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Lax & Neville Pursuing Unpaid Deferred Compensation Claims Against Merrill Lynch

On April 30, 2024, a class action was filed against Merrill Lynch in the Western District Court of North Carolina to recover the deferred compensation that Merrill Lynch cancelled upon Plaintiffs' voluntary resignation. While we believe there are strong claims against Merrill Lynch for violation of ERISA...

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New York Securities Arbitration Lawyers

Securities Litigation and Arbitration, Commercial Litigation,
Employment and Investment Law Firm

Lax & Neville LLP was founded in mid-2007 by the merger of the successful and growing law practices of Brian J. Neville and Barry R. Lax. Our law firm is a boutique New York City litigation firm focused on all matters concerning the financial services industry. Our main practice areas include securities arbitration and investment fraud litigation, representing financial services industry professionals on employment, regulatory and business matters, employment litigation, commercial litigation, and bankruptcy litigation. The New York securities arbitration lawyers at Lax & Neville LLP have built a strong reputation nationwide advocating on behalf of individual and institutional investors, industry professionals, employers, independent contractors, brokers, investment bankers, investment advisors, traders, hedge funds and smaller and regional broker dealers in arbitration forums across the country, as well as several state and federal courts.

We remain fiercely independent from, and often times adverse to, the largest financial institutions on Wall Street, including, but not limited to, Morgan Stanley, Merrill Lynch, UBS and Wells Fargo, which are usually represented by the largest and most resourceful internationally recognized litigation law firms. As we are adverse to these globally recognized law firms, it is imperative that our attorneys match and/or exceed the knowledge and expertise of our adversaries in our practice areas. Based on our successful record, we have surpassed that goal as our New York securities arbitration attorneys have litigated and arbitrated hundreds of claims against those financial institutions and their counsel, and have received substantial awards, judgments and/or settlements in our clients’ favor in various forums, including:

  • FINRA, JAMS, AAA, ICC and NFA arbitrations;
  • State and Federal Courts; and
  • Regulatory investigations and enforcement proceedings.

What also makes Lax & Neville LLP unique is our ability to represent both investors and industry professionals. At Lax & Neville LLP, our attorneys are highly experienced in the securities and investment markets, and have in-depth knowledge of the governing laws and regulatory framework of the financial services industry. This experience allows our attorneys to represent both claimants (generally, investors and/or employees) and respondents (generally, smaller and regional brokerage firms and investment advisors) in arbitrations, and plaintiffs and defendants in court cases. Our attorneys provide value to our clients through their familiarity with both sides of the legal arguments and litigation strategies. This distinct ability to work on both sides of the aisle keeps us sharp and on the cutting edge of legal developments in the securities and investment industries. Furthermore, our lawyers possess excellent analytical skills and the ability to conceptualize the issues from every perspective. These skills provide the attorneys at Lax & Neville LLP with the foundation needed to successfully advocate for clients in complex cases involving securities, employment, investment and commercial law.

Lax & Neville LLP’s legal team offers decades of combined experience and comprehensive legal services focused on achieving the goals of our clients through strategic negotiation, mediation and complex litigation through trial and appeal, when necessary. Our team is responsive, attentive and values the importance of communication with clients. We always offer clear, honest and reliable feedback to our clients, and will be available to answer any questions that should arise. In every case, we focus on the needs of our clients.

Because we are a boutique securities arbitration, commercial litigation, employment and investment law firm, our New York securities arbitration lawyers are able to provide first-tier representation to our clients on matters that the large litigation firms simply cannot handle in a cost-effective manner. However, even though cost-effective representation is our business model, our clients’ interests are always the focus of our business and unyielding attention. We strive for excellence in everything that we do for our clients. Our firm’s enduring dedication to our clients sets us apart from our competitors. This dedication to our clients and continued belief in our firm are the primary reasons for Lax & Neville LLP’s success.

Contact Lax & Neville LLP for a free initial consultation with an experienced securities, investment, employment and commercial litigation lawyer. We are committed to serving clients nationwide in securities, employment and investment law.

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New York Securities Lawyer Blog
Client Reviews
★★★★★
The Lax & Neville team were total professionals in handling our case. They've clearly had quite a bit of experience handling complex legal matters in many jurisdictions and courts. I was impressed with their professionalism coupled with persistence in arguing a very complete and well-structured case. I highly recommend their services. Anonymous
★★★★★
I am very, very happy with the outcome of my case and my experience with Lax Neville could not have been better. The entire team of attorneys and staff are real professionals, they always had time to answer my many questions about my case. I was treated with compassion and respect. I am so grateful I chose to work with Lax Neville. Anonymous
★★★★★
This is an official " thank you" for all your hard work. It really was a pleasure to have you represent me, and I enjoyed seeing you, Rush and Sandra in action. I think Lax and Neville epitomizes the phrase "quality vs quantity". I think I told you before that I spent a lot of time researching firms; in this case things worked out, I picked the best firm. I hope I never need your services in the future, but if I do I know I found the best attorneys for these types of legal issues. Anonymous
★★★★★
What transpired at the [redacted] was nothing less than a truly masterful and exceptional experience regarding your intelligence, professionalism, preparedness for my case, teamwork and erudite knowledge pertaining to Securities Law, FINRA and the SEC. The facility and ease of how the case was handled, the systematic questioning of all the witnesses to obtain the facts necessary to prove our case, the preparation of the critically conclusive information and documents, the commanding coup de gras closing argument and your tireless consideration and respect for the Panel and [redacted] was, is and will continue to epitomize my feelings and conclusion that what transpired over those long three days was nothing less than raw and unabashed brilliance. Anonymous
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  1. 1Nationally Recognized
  2. 2Decades of Experience
  3. 3Client-Focused

Fill out the contact form or call us at 212-696-1999 to schedule your free consultation.