Securities Litigation

We have extensive experience in representing clients involved in securities litigation including:

  • Broker-Dealer Arbitrations: we represent customers and broker-dealers in connection with arbitrations before the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), American Arbitration Association (AAA), National Futures Association (NFA), and state and federal courts across the country.
  • Privately Held Stockholder Actions: we handle fraud actions on behalf of buyers and sellers of stocks, bonds, options, and other securities, representing clients who have suffered losses as a result of misleading statements relating to the financial condition or business operations of the issuer.
  • Securities Litigation Class Actions: we have broad experience representing plaintiffs and defendants in national securities fraud class actions against companies and their principals who are accused of having defrauded investors through the use of false or misleading public statements.
  • Financial Fraud: we represent investors who have suffered losses due to financial fraud.
Significant Achievements

Obtained dismissal of federal class action securities matter on behalf of Fortune 500 gun lock manufacturer

Obtained judgments totaling $1,486,000 on behalf of Brazilian investor clients who suffered losses due to fraudulent investment scheme

Secured confidential settlement in FINRA proceeding on behalf of Church client who against broker-dealer arising out of negligent recommendation of financial products

Secured confidential settlement against broker/investment advisor arising out of negligent recommendation of financial products and mishandling of investment accounts resulting in significant losses to client