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Securities Litigation

Creative Approach. Proven Results.

Securities litigation is a highly specialized area of practice involving the application of complex securities laws and regulations to a wide variety of financial products and market conditions. Our team is experienced in all types of claims involving US securities, public and private, and is comprised of seasoned litigators in some of the most complex and high-profile securities litigation in the country. We also understand the complexities of working with government agencies and have developed valuable relationships with federal and state regulators.

Our attorneys litigate high stakes international securities class, derivative and individual actions, as well as investigations and enforcement actions by the SEC, FINRA, and state regulators. We have appeared in state and federal courts nationwide on behalf of issuers, private equity shops, directors and officers, investors and the largest financial service firms in the country.

Our securities litigators have handled cases involving a variety of securities, including common stock, options, commodities, bonds, derivatives, limited partnerships, mutual funds, promissory notes and annuities. In connection with these types of securities, we have vast experience defending and prosecuting claims for fraud, violations of prospectus, SEC reporting and other disclosure obligations, breach of fiduciary duty, and insider trading.

With offices in New York, Miami and Zurich, and strategic partnerships globally, our team is ready to assist clients anywhere at anytime.

Private Equity Fundraising & Compliance

Fund Formation
Private Offering Documents
Broker and Finder Compensation
Digital Currency & Blockchain Technology

FINRA Regulatory & Expungement Proceedings

CRD Expungements
U4 & U5 Reporting
Enforcement & Disciplinary Actions
Broker Transitions

Securities Litigation

Securities Fraud
Class Actions
Shareholder Derivative Actions
Whistleblower Claims

FINRA Arbitration

Employment Disputes
Customer Complaints
Industry Disputes

Other Practice Areas

International Business Litigation & Dispute Resolution

Real Estate & Land Use

Acquisition & Disposition
Commercial Leasing
Private Equity & Joint Venture
Hotel & Hospitality
Real Estate Finance
Land Use & Development

Senior Investor Protection

Securities Litigation
FINRA Arbitration
Pro Bono Legal Services

Securities Probate Disputes

Senior Financial Exploitation
Frozen Brokerage Accounts
Power of Attorney Abuse