Securities Litigation

Liability for Defective Securities

Aiding and Abetting Fraud

Who Can be Held Liable in FINRA Conduct Cases?

Damages for Unauthorized Trading, Churning, etc.

How do Blue Sky Laws vary from state to state?

How do these cases differ from traditional securities fraud cases?

How is AAA different from FINRA arbitrations?

How is the damages calculation different for breach of fiduciary duty compared to breach of contract?

How long do FINRA and SEC investigations typically last?

Is it possible to recover punitive damages for breach of fiduciary duty or breach of contract?

Legal Standards for Brokers

What advice do you have for employees in the securities industry who have been terminated or are leaving a brokerage firm?

What are annuities, private placements, and illiquid securities?

What are Blue Sky Laws, and what is their purpose?

What are complex and alternative investments?

What are defective securities and proprietary investment cases?

What are options and how do they work?

What are some common sales practice violations that are covered by the FINRA Conduct Rules?

What are the FINRA Conduct Rules?

What are the legal consequences for individuals and companies involved in affinity fraud or a Ponzi scheme?

Due Diligence Required in Complex & Alternative Investments

Authorization for Trades

Duty to Supervise Advisors

What are the obligations of a custodian or administrator of a self-directed IRA?

What are the potential consequences of entering into an SEC settlement?

What are the potential consequences of failing to cooperate with a FINRA or SEC investigation?

What are the potential risks associated with trading options?

What are the risks associated with investing in complex and alternative investments?

What are the warning signs of affinity fraud and Ponzi schemes?

What are typical claims in a FINRA arbitration?

What are unauthorized trading, churning, and overconcentration cases?

What can I do if I suspect an elderly loved one is being financially scammed by a brokerage firm or broker?

What can I do to correct inaccurate Form U5 information?

What disclosures are required under Reg BI?

What evidence is necessary to prove a failure to supervise claim?

What evidence is necessary to prove a misstatement or omission in a fraud case?

What evidence is necessary to prove misconduct related to self-directed IRAs?

What evidence is necessary to prove that a security or investment is defective?

What is a FINRA 8210 Request?

What is a FINRA Acceptance, Waiver, and Consent (AWC) and what is the significance of entering into one?

What is a Ponzi scheme and how does it operate?

What is a self-directed IRA and how does it differ from a traditional IRA?

What is a Wells Notice, and what is the significance of receiving one?

What is affinity fraud and how does it differ from other types of investment fraud?

What is investor mediation?

What is the difference between a breach of fiduciary duty and a breach of contract?

What is the difference between forgery, conversion, and theft?

What is the difference between Suitability and Regulation Best Interest (Reg BI)?

What is the process for filing a lawsuit related to forgery, conversion, or theft?

What is the process for responding to a FINRA or SEC investigation?

What is your experience as a securities litigator?

What is your experience in state investigations?

What remedies are available to investors who have been harmed by a sales practice violation?

What role do you play in internal investigations in the securities industry?

Reg BI or Suitability Violations

What should I do if I receive an SEC subpoena?

What Investors Can Do

What triggers a FINRA or SEC investigation, and how are investigations typically initiated?

What types of assets or property can be subject to forgery, conversion, or theft cases?

What types of damages are typically sought in a failure to supervise case?

Damages Related to Private Placements and Illiquid Securities

What types of evidence are typically collected during a FINRA or SEC investigation?

What types of evidence are typically used in forgery, conversion, or theft cases?

What types of misconduct can occur with self-directed IRAs?

What types of misstatements or omissions are typically involved in fraud cases?

What types of options cases are commonly litigated?

Who is subject to FINRA or AAA arbitrations?

Whom do you represent in whistleblower cases?