Securities

We represent brokerages, individual brokers and investors with a broad range of securities-based claims.

Our experience includes:

  • Violations of Rule 10b-5

  • The '34 Act

  • Suitability

  • Fraud

  • Misrepresentation and nondisclosure

  • Churning

  • Negligence

  • Breach of contract

  • Unauthorized trading

  • Broker misconduct

  • Brokerage's failure to supervise individual brokers

Investment vehicles involved in casework have included derivatives, options, margin accounts, stocks, bonds, mutual funds, partnerships, limited partnerships, and private offerings.

Securities Fraud-Successful Case Example