Securities Litigation

Securities litigation is a niche legal practice requiring the knowledge and application of state and federal securities laws and the rules and regulations promulgated by self-regulatory agencies, such as FINRA in litigation cases. Properly defending securities claims is crucial as they are generally high stakes matters that can result in serious financial consequences and negative publicity to clients.

Our partners have extensive experience in successfully representing Broker-Dealers, Registered Representatives, Registered Investment Advisers (RIAs), Investment Adviser Representatives (IARs), financial planners, and Certified Public Accountants (CPAs) (who enter into solicitor agreements with RIA firms) in a multitude of securities litigation matters. Some examples of our experience include defending and resolving complaints and/or arbitrations filed by customers, pursuing and defending intra-industry disputes between Registered Representatives and Broker-Dealers or IARs and RIAs, and pursuing expungement of customer complaints and/or employment information from an advisors CRD. Our arbitration experience includes both pre-arbitration and post-arbitration proceedings in state and federal courts, the enforcement of arbitration agreements, and proceedings to confirm, modify or vacate arbitration awards.

We represent Broker-Dealers, Registered Representatives, financial planners, RIAs, and IARs in securities arbitrations conducted by FINRA, AAA, and JAMs, each of which have a unique set of rules and procedures that apply to the specific forum that differ from any court. With our expertise in this niche area, we are extremely familiar with the forums, specific forum rules and procedures of each forum, and how to properly pursue and defend claims in these forums.

Our primary objective is to achieve the best results possible for our clients. This may involve a path that necessitates litigation, creating an avenue to settlement or alternative resolution, or trying a case through conclusion. Regardless of the circumstances, our experience and expertise give us the necessary tools to provide our clients with the best possible outcome.

We have litigated and arbitrated cases on behalf of Broker-Dealers, RIAs, IARs, financial planners, and other financial institutions, involving:

Customer / Investor Claims of:

  • Fraud
  • Churning
  • Suitability
  • Negligence
  • Negligent Supervision
  • Breach of Fiduciary Duty
  • Market Manipulation
  • Order Failures
  • Regulation T Violations
  • Unauthorized Trading
  • Selling Away

Products:

  • Exchange-Trade Funds (ETFs)
  • Preferred Stocks / Securities
  • Options
  • Mutual Funds
  • Bonds
  • Auction Rate Securities (ARS)
  • Securities Backed Line of Credit
  • Private Funds
  • Alternative Investments

Intra-Industry Claims of:

  • Wrongful Termination
  • Defamation
  • Breach of Non-Compete and Non-Solicitation Agreements
  • Promissory Note Disputes
  • Tortious Interference with Business Relationships

Expunging false, defamatory, and erroneous disclosures may be critical to the successful continuation of an individual’s career or to a firm’s continued operations. Our multi-faceted experience in this area includes:

  • Preparing demand letters to Broker-Dealers and RIAs to amend U5 language related to separation from employment
  • Pursuing expungement of customer complaints on U4
  • Pursuing expungement of employment disclosure on U5
  • Post-expungement matter actions, including confirming the arbitration award in court and submitting the proper documentation to FINRA for removal of the expunged matter from an individual’s CRD

 

Practice Areas:

 

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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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