Securities Litigation

Securities litigation can be intimidating. The Supreme Court has upheld the arbitration provision in virtually all stockholder agreements, so the uninitiated face the daunting task of filing the appropriate documents in the correct forum, and must engage in a process fraught with industry personnel.

We have handled and have experience in these matters and can offer you assistance in evaluating your claim, and in pursuing the individual broker and the brokerage firm that may have invested your life savings unsuitably for your financial means or without your permission or without appropriately explaining the costs involved.

For example, recently, we handled a claim against a major brokerage firm and one of its former broker for his actions in inappropriately investing the funds of an elderly client. In a somewhat unusual situation, although the client recognized a gain in her overall portfolio, her estate was able to recover a significant sum because of the inappropriate manner in which the broker handled her account (churning and unsuitability), and for the overall lack of supervision of his actions by the brokerage firm. Do not be discouraged if a net overall gain is realized, as this simply does not preclude inappropriate or unscrupulous conduct on the part of the broker or of the brokerage firm.

We are willing to go to bat for you.