Business Law

Securities

Representative Matters

  • Working with litigators to assist clients in securities disputes - Our Securities Group works closely with the firm's litigators to represent clients involved in securities disputes. We have defended clients during litigation ranging from business acquisition disputes to enforcement actions to SRO arbitrations.
  • Helping investors recoup losses - Investors wronged by their financial advisors have retained our securities litigators to recoup their losses.  
  • Representing a major national brokerage firm - Our firm's securities advisors and litigators have teamed up to represent a major national brokerage firm in an administrative investigation into the brokerage's sales and compliance practices. 
  • Raising Capital for Corporate Clients - In the past year, corporate clients have turned to our corporate advisors both for help in raising needed capital to grow their businesses while maintaining control over the enterprise, and in serving as SEC counsel.