Securities Litigation and Investment Fraud Disputes

While we represent many clients in general business, commercial, and employment matters through litigation in state or federal courts, we also advocate for clients in securities disputes through arbitration and mediation. Investors, investment professionals, broker-dealers, registered investment advisers, and others who have chosen to resolve their differences through dispute resolution services such as Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), or other alternatives to court litigation can rely upon our experience and expertise in these forums.

We have experience litigating and arbitrating investment fraud or negligence claims featuring the following theories of recovery:

• Unsuitable investment recommendations
• Breach of fiduciary duty
• Negligent misrepresentations
• Fraudulent misrepresentations (investment fraud)
• Statutory investment fraud (based upon federal or state securities statutes)
• Common law investment fraud (based upon court-created theories of fraud)
• Negligence
• Failure to supervise
• Failure to execute
• Churning
• Consumer protection statutes

In addition to cases involving customers of retail brokerage firms, we have also represented parties involved in securities disputes related to private securities transactions and closely-held businesses.

Securities Industry Disputes

Investment professionals, broker-dealers, and registered investment advisers can also become involved in arbitration or litigation of industry-related disputes. We are well versed in advising clients regarding employment agreements and practice transition in the financial services industry, including the prevention or resolution of disputes involving:

• Non-competition agreements (restrictive covenants)
• Client non-solicitation
• Employee non-solicitation (anti-raiding provisions)
• Confidential or proprietary information (trade secrets)
• “Forgivable loans” or promissory notes
• Retention bonuses