Our attorneys represent numerous individual and institutional investors in large class action suits and arbitration proceedings on behalf of investor clients. Our attorneys also handle employment actions in the broker-dealer industry, serving clients throughout the nation.
Our securities litigation and arbitration practice includes a former assistant general counsel to a major securities brokerage firm. Our attorneys have experience with various securities law issues, including issues arising under the Private Securities Litigation Reform Act of 1995, the Securities and Exchange Acts of 1933 and 1934, state securities law and common law.
In particular, our lawyers have handled a large volume of securities arbitration actions before the NASD, NYSE, and other exchanges (now known as FINRA). We have represented both investors and individual securities brokers against their brokerage firms, and have been successful in helping investors recoup millions of dollars lost to unscrupulous brokers and corporate officials as a result of financial wrongdoing.
Our attorneys are prepared to handle a variety of securities litigation and arbitration cases, including those involving the following:
- Broker-Dealer Arbitrations: Actions on behalf of customers against stockbrokers, financial planners, and advisors for various violations of statutory and common law, including fraudulent conduct. The firm has particular experience representing non-U.S. customers in Latin America and the Caribbean.
- Privately Held Stockholder Actions: Fraud actions on behalf of purchasers and sellers of stocks, bonds, options, and other securities, representing clients who have suffered losses as a result of misleading statements relating to the financial condition or business operations of the issuer.
- Securities Litigation Class Actions: The firm represents institutional investors in national securities fraud class actions against companies and their principals, who legal defrauded investors through the use of false or misleading public statements.
- Broker-Dealer Regulatory Actions: The firm has represented a number of brokers and brokerage firms in litigation, regulatory, and other matters in federal and state courts, as well as before self-regulatory agencies, the Securities and Exchange Commission, and state banking authorities.
- Broker Employment Actions: The firm regularly represents brokers in cases involving employment and defamation issues.
If you would like to speak with a member of our securities practice to discuss legal representation, or have any other question, please contact us at our Miami or Fort Lauderdale office. We will respond promptly and arrange for you to speak with a member of the firm with the appropriate experience.