Over the years, we have developed a significant reputation in the complex and highly regulated area of securities and securities litigation. We have handled virtually every conceivable securities problem under all of the major federal and state securities laws, in courts across the country and before regulatory agencies, securities and futures exchanges, and options arbitration. Our clients include public companies, officers and directors; underwriters; brokers; investment bankers; and both purchasers and sellers of securities and other financial products.

We help clients in all areas of securities-related disputes. These include:

Broker-Dealer Disputes

We regularly represent broker-dealers and investment advisors in matters involving broker-customer disputes, public offerings and IPOs, breach of fiduciary duties, ERISA claims, employee claims and tax disputes.

Fraud and Misrepresentation

Allegations of fraud and misrepresentation can have a significant impact on both plaintiffs and defendants. We represent securities issuers, purchasers and underwriters in matters involving blue sky violations, corporate disclosure, market manipulation, research issues, trade allocations, transactions with parties in interest and white-collar crimes.

NASD Arbitration

We represent clients in investigations and arbitrations sponsored and/or mandated by the National Association of Securities Dealers and various stock exchanges. We provide counsel regarding the full range of alleged rules violations, including, failure to supervise, improper sales practices, insider trading, Internet trading, limited partnership sales practices, registration issues, free riding and withholding, trade execution, floor trading practices, underwriting practices and advertising violations.