The Securities Enforcement Defense Group’s attorneys represent our investment adviser and broker-dealer clients in securities-related civil and commercial disputes.  The Group’s attorneys bring their knowledge of the securities industry to these matters as well as their experience in handling the unique issues that arise in such disputes.  We are always mindful of the possibility of regulatory proceedings that may develop out of private litigation as well as the disclosure obligations that private litigation might require.

We have extensive trial experience, and our skill and reputation as trial lawyers provide strategic advantages at all stages of the litigation process.  We also take care to staff matters leanly and to focus our efforts on activities that will lead directly to an efficient and favorable resolution.  Some examples of the securities industry litigation we have recently handled are:

  • disputes between market participants
  • trading disputes and trading errors, including complex instruments such as derivatives and swaps
  • unfair competition and misappropriation of trade secrets customer disputes
  • hedge fund and investment adviser litigation
  • investor claims
  • FINRA arbitrations