Securities

Securities

Investment decisions do not always bring about the intended result. When that happens, investors often look to hold others responsible for their losses. In defending against claims that arise under securities laws — including class actions and derivative suits — our firm represents:

  • Brokerage firms
  • Registered representatives
  • Attorneys
  • Accountants
  • Companies
  • Officers
  • Directors
  • Issuers

Our securities practice also involves administrative proceedings and arbitrations against, and defense of, professionals, brokerage firms and registered representatives before agencies including the Securities and Exchange Commission, FINRA, the New York Stock Exchange and the National Association of Securities Dealers. These arbitrations have included allegations of:

  • Churning
  • Insider Trading
  • Fraud
  • Breach of fiduciary duty
  • Suitability
  • Breach of contract
  • Negligence
  • Civil theft
  • Conversion
  • Other state and federal securities law violations

We also represent brokerage firms and their employees, securities issuers and their managers and directors, and accountants in SEC, FINRA, NYSE and NASD investigations, and in federal and state criminal prosecutions. The firm is not, however, involved in private offerings or public registrations of securities.

Toll Free: 1 (800) 333-8151
Telephone:  (305) 373-1000