We know well the agenda of the regulator, the resources and limitations inherent in government litigation, and the substantive law, procedural twists, and strategies of securities litigation. Having represented clients in numerous SEC investigations and proceedings, and in FINRA and state investigations and proceedings, we know well the economic and emotional pressures, distress and anxiety suffered by clients undergoing regulatory investigations or responding to investor claims. We have seen the impact on families and employers and are well aware of the potential damage to reputation that clients may suffer during such matters. We take care to address these emotionally charged situations in our client counseling and advocacy.
Securities Litigation and Securities Arbitration
We defend, with one exception, securities litigation and SEC litigation matters nationwide, in state and federal courts and in FINRA arbitrations, regardless of the location of the client. We are available and committed to appear wherever necessary to marshal the evidence critical to our clients’ cases. We defend securities firms, public companies, and their officers, directors, employees and associated persons from investor arbitration or court claims.
Representation of Ponzi scheme victims in investment fraud litigation is the one possible exception to our securities litigation law firm and securities arbitration defense practice. Generally, the victims of investment fraud will be suing in state or federal court, and we will be retained to get in early before other suits are filed to try to recover the client’s lost funds. This type of plaintiff’s representation is a rare exception for situations where we estimate that the client is likely to be made whole or nearly so, and the securities litigation law firm will be reasonably compensated for its time. We have much experience in investment fraud litigation. This type of litigation typifies the essence of our litigation and enforcement experience.
Regulatory Examination and Enforcement Inquiries, Investigations, and Proceedings
Although we are based in Florida, we are available nationwide in defense of securities and commodities brokers, investment advisers, companies and others in Securities and Exchange Commission, Commodity Futures Trading Commission, FINRA, and state regulatory inquiries, investigations and proceedings. We know thoroughly the internal mechanisms of the regulatory entities and their agendas and policies and can advocate effectively on behalf of our clients. Our firm has represented clients before the SEC, CFTC, FINRA, NYSE, Arkansas Securities Department, California Department of Corporations, California Department of Insurance, Connecticut Department of Banking Securities and Business Investments Division, Florida Department of Financial Services, Kansas Office of the Securities Commissioner, Missouri Secretary of State Securities Division, New York Office of the Attorney General Investor Protection Bureau, Ohio Department of Commerce Division of Securities, Pennsylvania Securities Commission, Texas State Securities Board, Virginia State Corporation Commission Division of Securities, and Wisconsin Department of Financial Institutions Division of Securities.
Investment Professional Employment and Termination
Our securities litigation law firm counsels and represents investment professionals and securities member firms in employment disputes. Whether in securities industry arbitration proceedings for Form U-4 or Form U-5 defamation or expungement matters, state court actions for alleged civil rights violations, or federal injunctive actions for raiding or non-compete claims, we can assist you with your industry employment concerns.