Securities Litigation Attorneys
Securities litigation encompasses a wide range of potential disputes. Our firm represents businesses and individuals in such disputes. These claims often involve allegations of outright fraud, willful depict, or a blatant failure to disclose material conflicts of interest. Other cases allege less egregious conduct, but no less damaging consequences and sometimes include negligence in handling investor portfolios or misrepresentation in communicating the risks and benefits of investment strategies. Securities-related disputes are sometimes filed in state or federal court, but increasingly there are arbitration clauses at play that require either private arbitration or arbitration before the Financial Industry Regulatory Authority (FINRA). Prosecuting or defending claims against fiduciaries such as registered investment advisors often proceed through either private arbitrations or before administrative law judges with the SEC.
Regardless of the venue in which a securities dispute proceeds, and regardless of whether the client is a private citizen, institutional investor, broker-dealer, or registered investment advisor, a securities litigation attorney must be an effective, efficient, and well-informed advocate. Navigating the complex waters of securities litigation requires an attorney who understands the client’s business goals and can advise the client based on the legal landscape and the constraints that those business goals may create. For example, a legal strategy that may be plausible on its face may not be the best business strategy, especially for a trusted investment advisory practitioner or firm. Providing the best advice as to those tradeoffs requires an attorney who is in tune with what is not only permissible but what makes good business sense.