Joshua Klein

For more than 20 years, Josh Klein has represented many of the nation’s largest financial institutions in complex commercial disputes, FINRA arbitrations and regulatory and enforcement proceedings. Josh’s civil litigation experience includes defending claims of breach of contract, fraud, tortious interference, fiduciary duty, antitrust and violations of the Racketeer Influenced and Corruption Organizations Act (RICO). Josh is also sought out to advise and defend many of these same institutions and their broker-dealer affiliates and executives on a wide variety of regulatory, investigatory and enforcement proceedings initiated by governmental agencies and self-regulatory organizations. His clients turn to him to guide them through all phases of enforcement actions and internal investigations, including responding to 8210 notices, preparing for and defending OTR (on-the-record) interviews and, where appropriate, effectively negotiating the terms of Acceptance, Waiver and Consent (AWC) Agreements.

A seasoned litigator, Josh regularly appears before federal and state courts across the country and has arbitrated extensively before the predominant arbitral bodies, including the Financial Industry Regulatory Authority (FINRA), where he has defended claims involving suitability, sales practice violations, churning, negligent supervision and unauthorized trading.