We have a great depth of experience representing public and private companies, officers and directors, securities firms and their registered professionals in a wide range of proceedings including:
- NYSE and FINRA securities arbitrations;
- federal and state commercial litigation;
- Nasdaq delisting proceedings;
- securities related employment and customer disputes; and
- SEC, NYSE and FINRA investigations and enforcement actions.
These matters range from routine investment claims to sophisticated securities fraud actions and enforcement proceedings involving:
- 10b-5 claims;
- officer and director liability;
- improper disclosure;
- market manipulation
- trade reporting violations;
- failure to supervise;
- clearing and trading irregularities;
- research conflicts of interest, and
- sales practice rule violations.