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 parties in SEC, FINRA, NYSE, and NASD matters. The firm is not involved, however, in private offerings or public registrations of securities.

MEET OUR TEAM

Deborah S. Corbishley
SHAREHOLDER
Richard H. Critchlow
SHAREHOLDER
Jeffrey T. Foreman
SHAREHOLDER
Elizabeth Brooks Honkonen
SHAREHOLDER
Michael Nachwalter
SHAREHOLDER
Stanley H. Wakshlag
Of Counsel

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