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 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:

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.