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.
