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Securities are sold in many forms including stocks, notes, and bonds. There are many laws that regulate securities, at both the state and federal level. Finding your way through the complications can be very difficult if you try to do it on your own.

We assist both private and publicly traded corporations, as well as the officers, directors, and other employees of these types of companies.  Our firm can assist you in various matters involving securities, including disputes concerning securities laws or regulations.

  • Represented broker-dealer in defense of litigation involving alleged fraud in connection with sale of securities.
  • Represented former executive and founder of a pharmaceutical manufacturer in prosecution of a securities and business fraud claim and defense of privatization of a public company.
  • Represented issuer of variable annuity in Arbitration involving allegations of improper calculation of death benefit.
  • Represented manufacturing company in dispute regarding leveraged buyout.
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