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We represent individuals, public and private companies, officers, directors and underwriters in connection with claims concerning alleged violations of federal and state securities laws and regulations, as well as common law claims. The types of claims we handle range from suitability, unauthorized trading, and churning to complex securities fraud claims.
Our significant prior experience representing parties in disputes in the financial industry, as well as representing clients in transactional and SEC compliance matters, gives us unique understanding of the issues facing our clients in this arena, and allows us to develop strategies aimed at meeting our clients’ objectives.
We also represent individuals and entities in disciplinary action, as well as counsel clients in connection with SEC and FINRA investigations and enforcement actions.