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A Better Partnership

Securities Litigation and Arbitration


Our depth of expertise in securities litigation and securities loss prevention/compliance is extensive. Members of our firm have served as federal and state government securities regulators and serve on federal and state advisory committees and boards. They also regularly speak at securities-related seminars and give compliance/litigation avoidance presentations.

Customer Arbitrations and Lawsuits. Our solutions for clients include successful defense against investor claims brought in FINRA arbitrations, alternative arbitration forums, federal and state court actions, related facilitative mediations and class actions. Though most securities cases are either dismissed or settled, we regularly step into the ring to try cases in arbitrations. This experience separates us from many securities lawyers and brings credibility to any tussle we are in. We regularly get securities claims dismissed from federal or state court, compel arbitration in appropriate circumstances, have handled multi-million dollar arbitration claims, getting them dismissed after trying the cases on the merits or, when appropriate, filing dispositive motions.

Securities Industry Disputes. When members of the financial services industry have a fight with each other, we are ready with gloves on to jump in and defend or prosecute disputes over recruiting, hiring, firing, the applicability of restrictive covenants, privacy agreements, Regulation S-P, statements on Form U-5's, forgivable loan incentives and the propriety of injunctive relief. We have on multiple occasions represented our clients on injunction matters involving firm recruitment of associated persons and solicitation of clients and the related, companion FINRA arbitrations that must be filed with requests for injunctive relief in court pursuant to the FINRA Code of Arbitration Procedure. Our litigators have handled these matters for national firms at various locales around the country, successfully working with clients’ insurance carriers when the clients do not self insure.

Securities Class Actions. We have successfully handled over 30 class action lawsuits and never lost. These matters involved well-known New York and California class action law firms on behalf of claimants and by nationally recognized New York and D.C. securities litigation firms representing defendants. We take pride in the fact that numerous clients using such nationally recognized firms have compared and praised the superior quality and value of our work.

Regulatory Enforcement Actions and Investigations. We also regularly respond to and defend against regulatory inquiries, investigations and enforcement actions by the SEC, FINRA and state regulatory agencies or other Self-Regulatory Organizations. We stay current on important issues such as maintaining and waiving applicable privileges, consolidating and simplifying investigations and actions by multiple regulators, cooperation and appropriate settlement strategies. Recently we have been engaged to handle regulatory action and claims involving alleged assistance to day traders in placing large, timed orders in mutual funds.

We have the expertise to advise you on realistic and cost-effective strategies. We invite you to compare our academic and professional backgrounds with those of other firms you use or are considering. We will compare favorably, as the lawyers who practice here are uniformly high achievers who could have practiced anywhere but came here for the unique opportunity of a complex legal practice without the big city costs and burdens.

We also are confident that we offer clients and insurance carriers a chance to consolidate legal work with us, thereby enhancing efficiencies and reducing legal and administrative costs. Here's how:

  • Our rates are lower and we staff cases efficiently. Compare our hourly rates, and we think you will find them to be substantially less than those of other national or regional counsel you use with comparable credentials. Moreover, we have attorneys at all levels, from senior attorneys to new associates, who regularly litigate securities matters. The person with the most appropriate level of expertise handles our clients' cases. This means you save money. You will not find us unnecessarily staffing cases with multiple partners and associates. We challenge you to review your charges from other firms and see the difference. For companies with large and recurring litigation needs, we are willing to consider various alternative fee arrangements, such as volume discounts and blended and flat fees.
  • Using us for your securities work will lead to greater efficiencies and reduce your administrative burdens. We get to know your personnel, business, compliance procedures, administrative procedures, likes and dislikes, which leads to greater efficiencies for you.
  • By handling your securities litigation matters, we can help you be consistent in the legal positions you take in various forums across the country, eliminating the possibility that you take one position in one forum that is inconsistent with positions taken in others.
  • We have a reservoir of pleadings for our clients that can be quickly and efficiently adapted for new cases. Although each case is different, we do not have to reinvent the wheel every time a new case comes in, and we can respond more quickly to demanding time deadlines that may be placed on us.
  • Securities arbitration and compliance work is a nationwide practice not restricted by the location of your legal counsel. Most arbitrations are litigated via teleconference until the time of the hearing, so there is little disadvantage to having counsel located outside of the city where the matters are arbitrated. Further, the law governing arbitrations is derived from industry practice, cases, statutes, rules and regulations that have general applicability and overlap nationwide.
  • You can deal with one firm and one team of lawyers so you will not have to search for counsel in a particular area. You will already have excellent counsel who understands your business and knows your personnel. Our virtual office capability means that you will always be able to reach us. Our IT department regularly develops secure intranet sites and e-mail for private use by attorneys and clients. We can use in-house videoconference capability for face-to-face meetings if you prefer. We operate as if we are right down the street.
  • We have developed contacts with well-respected, independent experts who provide guidance on securities matters. Our clients benefit from our familiarity with these top experts.

In short, we are ready to serve your securities litigation needs. We hope you will check us out and give us an opportunity to help you reach your goals.



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Photo of Conor Dugan
Conor Dugan
Photo of Brian Masternak
Brian Masternak
Photo of Gordon Toering
Gordon Toering

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NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

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