Securities Enforcement & Litigation

The Roberts Kaplan Securities Enforcement and Litigation Group defends brokers/dealers, issuers, officers and directors, investment advisors, investment bankers, underwriters and other capital market professionals in all types of securities-related proceedings and disputes:

In enforcement investigations and administrative proceedings brought by SEC, FINRA (formerly NASD Regulations, Inc.), NYSE and state regulators.
In arbitrations of investor complaints before FINRA, American Arbitration Association and JAMS.
In litigation involving class action securities fraud cases, shareholder derivative actions against officers and directors, merger litigation and other matters arising out of securities transactions.
In internal corporate investigations on behalf of management or special board of director committees.

We have represented brokers/dealers and investment advisors in customer claims, including misrepresentations and omissions, suitability, churning, unauthorized trading, selling away, breach of fiduciary duties and other federal and state securities law claims. Our experience includes such investments as:

IPOs
Options
Private placements
Variable insurance products
Stocks
Bonds
Limited partnership interests (including LLCs)
Tenant in Common Interests

Our clients include:

Broker/dealers
Brokerage firms
Investment advisors
Insurance companies
Corporate officers and directors
Professionals