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Securities Litigation and Arbitration |
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+ Customer Complaints + Employment + Regulatory and Enforcement We regularly defend customer complaints alleging sales practice violations. The most common claims defended are (1) alleged violations of the FINRA’s Suitability Rule and the NYSE’s Know Your Customer Rule; (2) allegations of unauthorized trading; (3) allegations of misrepresentation or omission of material facts; and (4) allegations of churning. These, and other alleged sales practice violations, frequently give rise to claims asserting violations of the federal securities laws (Securities Act of 1933, Securities Exchange Act of 1934 and the Investment Advisers Act of 1940), state securities laws (Uniform Securities Act and Blue Sky Laws), as well as the common law doctrines of fraud, negligence, breach of fiduciary duty and breach of contract. Experience is a great teacher. Our work has spanned the range of investment products and industry sectors, including: Stocks (blue chip, preferred, penny) and stock indices Bonds (municipal, corporate) Mutual Funds (all types, all classes) Annuities (variable, fixed, deferred) Life Insurance (life, universal, term) Viaticals and Life Settlements Promissory Notes Limited Partnerships (real estate, oil and gas, aircraft leasing, equipment leasing, cable, horse breeding, hotels, movies) Exchange Traded Funds Options Futures Real Estate and Real Estate Investment Trusts Mortgage-Backed Securities Treasuries Money Market Funds Certificates of Deposit Margin (strategies and sell outs) Trade Disputes Dividend Recapture Best Execution Redemption Fees Arbitrage Strategies and Industry Sectors, including Telecommunications Technology Financials Health Care Consumer Goods and Services. Utilities Industrials Oil and Gas Basic Materials. |
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