Securities Litigation, Arbitration, and Regulatory Proceedings
We represent and defend securities litigation matters in Arizona’s state and federal courts in cases involving, among other things, fraud, negligence, breach of contract, and breach of fiduciary duty.
We also represent claimants and respondents in arbitration cases between investors and brokerage firms in disputes involving claims of suitability, churning, unauthorized trading and other types of investment fraud.
Finally, we defend registered representatives and other securities’ professionals in administrative investigations and proceedings. Our experience includes defending clients before the Arizona Securities Division, FINRA, the New York Stock Exchange, and the Securities and Exchange Commission.