Securities regulatory practice and securities customer disputes

As a young associate in a large, highly respected Atlanta firm, Dalziel was assigned to work on multiple matters involving disputes customers had with a major brokerage firm client. Dalziel lived near the Atlanta branch, so he intentionally spent a lot of time physically in the branch, watching how it worked, and also studied the securities exam prep books of a friend who worked at Merrill Lynch. This friend coincidentally became Dalziel’s first major non-compete client. In those early 1980’s days, securities customer claims were litigated in Court, and Dalziel’s team (he was the associate) obtained judgment as a matter of law at trial or by summary judgment in several cases. Then, when cases were required to go to arbitration, Dalziel at his second firm was tasked with filing motions to compel arbitration, and with enforcing arbitration awards, primarily against brokers who had left with a large balance on their forgivable loans. In the second firm, Dalziel represented customers in securities arbitrations against broker dealers, and later was defense counsel for another major securities firm in customer arbitrations. All this action positioned Dalziel to be charged to act as counsel to the subjects of SEC proceedings, NASD, NYSE and FINRA proceedings, Georgia State Securities Commissioner enforcement actions, and accounting board inquiries. Dalziel can put any of this varied securities experience to work for you now.