Securities Law

We represent broker-dealers, investment advisers and securities professionals in private disputes involving litigation and arbitration as with respect to regulatory inquiries, investigations and enforcement actions. We have significant experience litigating securities fraud matters in individual, opt-out, and class actions under the 1933 Act, the Exchange Act, the Private Securities Litigation Reform Act (PSLRA), state securities laws (“Blue Sky Laws”) and common law.

The Firm advises both registered and unregistered entities and individuals in matters pertaining to federal and state securities laws and regulations. In addition, we represent issuers, merger & acquisition (M&A) brokers and advisers in connection with private placements and fundraising.