On the securities front, The Firm has effectively represented dozens of brokerage firms and has successfully defended hundreds upon hundreds of securities arbitrations involving customer and industry disputes. Its many victories have set apart from others through its ability to obtain attorney’s fees against its adversaries as well as its expertise in securing awards for claimants – in excess of $30 million. In addition, it has successfully defended actions relating to, among other things, the private placement of securities, investment banking agreements, financial consulting agreements and initial public offerings.
The firm has represented clients in the securities industry including:
- Merchant banks and commercial banks
- Public and private corporations
- FINRA broker-dealers
- Hedge funds
- Investment banks and bankers
- Issuers, underwriters and creditors in litigations that arise out of public offerings or the private placement of securities
- Venture capitalists
- Registered representatives
- Private and public investors
- Corporate finance clients
- Private equity firms
The types of securities arbitrations and litigations are too vast to mention. They include securities fraud, employment disputes, raiding, deceptive practices, unfair competition, RICO, failure to pay finders fees or commissions, contract, tort and the wide variety of both customer and industry FINRA related claims.
The Firm has a well regarded SEC/FINRA defense practice. It has gained national recognition representing public companies and their board members and senior officers, individuals, registered representatives, broker-dealers, hedge funds, investment bankers, private equity entities and public companies in a wide variety of enforcement, quasi criminal and criminal litigations throughout the country. The defense practice includes representations in investigations, enforcement proceedings and actions in federal court commenced by FINRA, the SEC, the FBI and Department of Justice. These representations include defending public companies in civil actions commenced by the SEC and other governmental agencies in federal courts from Ankorage, Alaska to Miami, Florida.
The Firm represents several individuals, registered representatives, stock brokers, broker-dealers, hedge funds, investment bankers, private equity entities and public companies in a wide variety of enforcement, quasi criminal and criminal litigations throughout the country. The defense practice includes representations in FINRA, SEC, the FBI and Department of Justice inquiries, investigations and enforcement proceedings. It also includes defending broker-dealers and public companies in civil actions commenced by the SEC and other federal governmental agencies in federal courts. The Firm also defends criminal defendants in federal and state criminal arrests, indictments and trials.
