Securities & Private Funding
Securities-Private-Funding

We have significant experience in both prosecuting and defending securities-related claims, including class actions, derivative litigation, Securities and Exchange Commission (SEC) enforcement actions, and broker-dealer arbitrations. We have represented individuals and customers, as well as privately held companies, publicly traded companies, financial services firms, and their respective brokers, officers, directors and representatives.

We have represented parties in securities disputes, including stocks, options, bonds, derivatives, and other financial products, and in claims under both State and Federal securities laws. We also represent directors and officers in claims for indemnification and insurance coverage under D&O policies.

Our practice in this area includes representation in:

  • Private Equity Financings
  • Private Placement Memorandums
  • Private Raises
  • Securities Litigation
  • Venture Capital Financings
We have significant experience representing individuals, broker-dealers, brokerage firms, underwriters, investment advisors, registered representatives, and other securities professionals in a wide variety of litigation and regulatory matters, securities arbitrations, lawsuits initiated by customers, employment disputes, recruiting and raiding cases, regulatory inquiries, enforcement actions, and class actions.

We have represented clients in arbitrations and administrative proceedings before the Financial Industry Regulatory Authority (and predecessor SROs, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)), as well as in litigation in both State and Federal courts.

We have handled cases involving a wide variety of sales practices, customer disputes, and other claims, including allegations of:

  • Unsuitability
  • Churning
  • Negligent misrepresentation
  • Common law and statutory fraud
  • Product claims
  • Deceptive trade practices
  • Breach of fiduciary duty
  • Unregistered securities
  • Failure to supervise
  • Negligent supervision
  • Failure to execute
  • Market manipulation
  • Breach of contract
  • Margin misuse and failure to disclose
  • Research-based claims
  • Violations of State securities laws, such as the Texas Securities Act
  • Violations of the Federal securities laws, including Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

Our experience includes matters involving initial public offerings (IPOs), stocks, options, bonds, commodities, variable insurance products, annuities, mutual funds, employee options, emerging market debt, and other securities. We also represent and provide advice to brokerage firms, managers, and other securities professionals in all aspects of employment disputes in the securities industry, including matters involving recruiting, non-compete agreements, employment discrimination, sexual harassment, U-4 and U-5 disputes, compensation, commission agreements, deferred compensation plans, wrongful termination, defamation, libel, and slander.