Securities Practice

Part of our Business Litigation group, our clients have access to our extensive experience in securities litigation, regulatory compliance, and trade reporting. We represent hedge funds, private equity firms, broker-dealers and investment advisers in all aspects of their regulated activities. The Securities Practice Group is staffed with attorneys that have experience at major international law firms, regulatory agencies, and broker-dealers.

The Securities Practice Group regularly litigates customer complaints and arbitrations before industry arbitration panels and courts nationally. We also regularly represent firms and registered personnel in state, FINRA, and SEC enforcement actions.

 

Representative Matters:

 

Selling away;

Unsuitable investment recommendations;

Unauthorized trading/churning;

Market timing;

Bond markups and markdowns;

Collateralized Mortgage Obligation sales practices;

Receipt/deposit of client funds and securities.

The Securities Practice Group also regularly advises clients in compliance and regulatory matters including SRO, state and SEC registration and membership, withdrawal of registered entities, Form BD and Form U-4 reporting requirements, CCO certifications, drafting/revising compliance procedures, and new investment product due diligence.