The Securities Exchange Act of 1934 was designed to protect investors from fraudulent activities by by attacking the use of fraudulent and misleading sales practices. In addition, most states have passed Blue Sky laws that further regulate the securities industry. We’re not only prepared to help you navigate regulatory compliance with federal and state laws. We’re also ready to assist when claims are raised against investment firms for violations of these rules and regulations.

 

We’ve represented broker-dealers, fiduciaries, and investment firms for violations of state and federal law, as well as investors seeking redress when their broker relationships fail. And we’ve helped all of them with litigation for things like the backdating of stock options, fraudulent marketing and investment materials, insider trading, asset transfers, projection misrepresentations, IPO, secondary offerings, and private placements.