Securities Litigation

Our Securities Litigation attorneys represent companies, financial institutions, financial advisers, investors and other individuals and companies.

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Seasoned Representation in a Highly Specialized Field

The Litigation attorneys at Phillips Lytle have extensive experience managing the complex and highly specialized field of securities litigation. Our Securities Litigation attorneys represent companies, financial institutions, financial advisers, investors and others individuals and companies in numerous securities litigation matters, including securities-related lawsuits and arbitration proceedings.

Our Securities Litigation Practice has represented clients on matters brought under Rule 10(b)(5) in addition to other provisions of state and federal securities and commodities laws. Our Securities Litigation team has handled arbitrations before the Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA) and the American Arbitration Association. These cases include customer claims, employee claims, “raiding” cases, shareholder disputes, the exclusion or modification of improper shareholder proposals, clearing disputes and regulatory investigations.


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A Strong Foundation in Securities Litigation

Our deep understanding of the legal challenges our clients face sets us apart in representing securities litigation matters. We have extensive experience handling claims in arbitration, mediation and, when necessary, at trial.

Securities Arbitration, Mediation and Investigations

Phillips Lytle securities litigation attorneys have handled numerous securities claims before FINRA, including arbitration, mediation and investigations. Our experience provides us with a strong foundation to build upon when representing new securities litigation clients. Some examples of our experience managing securities arbitration, mediation and investigations include:

  • The successful defense of broker-dealers and individual registrants in FINRA and NFA arbitration proceedings, including industry disputes involving “raiding,” employment disputes and promissory note litigation.
  • The protection of an investor class of litigants/registrants in the bankruptcy of a California-based stockbroker school, including disposition of claims before FINRA and coordination with state securities regulators.
  • Representation of institutional money managers, underwriters and issuers in connection with arbitration and mediation concerning offerings of corporate bonds and disposition of claims in bankruptcy court, including matters related to bond rating downgrades.
Investment and Securities Litigators

In the event that securities claims reach trial, our experienced litigators have the foundational background to provide our clients with comprehensive representation in state and federal courts.

Our securities litigators work closely with financial institutions, creditors, brokers and many others in the financial industry in numerous investment-related litigation cases. Some examples of our experience include:

  • Defense of institutional investment managers in redemption freeze issues.
  • Representation of substantial creditors in Securities Investor Protection Corporation (SIPC) proceedings of broker-dealers, including disposition of claims before FINRA and in SIPC proceedings, and coordination with state and federal regulators and law enforcement.
  • Representation of a bank broker-dealer in receivership proceedings against bond issuer to recover funds gathered under a fraudulent offering used to facilitate a Ponzi scheme.
  • Representation of broker-dealers, investment advisers and futures trading firms in bankruptcies of registered individuals, including coordination with Securities Exchange Commission (SEC) and FINRA on enforcement and receivership matters related to such individuals.
  • Representation in bankruptcies of futures commodities merchants and introducing brokers.
  • Special counsel to the liquidating agent of GunnAllen Financial, Inc. in its bankruptcy in Florida.
  • Representation in bankruptcy of broker-dealer concerning control person liability claims.
  • Representation of industry participants and others to recover escheated property of bankrupt issuers, investment managers, broker-dealers and individual registrants in various jurisdictions.
Regulatory Investigations and Enforcement Actions

The strict regulations which govern financial institutions and the securities industry require constant review for the institutions and individuals they cover. Our Securities Litigation attorneys have ample experience managing regulatory and enforcement actions related to the securities and commodities arenas. Our experience includes:

  • Representation in SEC receiverships of broker-dealers and investment advisors.
  • Defense of broker-dealers, financial advisors and registrants in enforcement and disciplinary matters before FINRA, SEC, NFA, CFTC, state securities regulators and other self-regulatory organizations, including coordination with criminal defense counsel.
  • Representation of investment advisers in connection with examination of tax-shelter activities by federal regulators and related litigation.
  • Ongoing representation of broker-dealers, investment advisers and futures firms on compliance and regulatory audits/inspections.

Meet Our Securities Litigation Team

Myles K. Bartley Partner
Peter A. Bellacosa
Edward S. Bloomberg Of Counsel
Alan J. Bozer Of Counsel
Andrew P. Devine Partner
Marc H. Goldberg Special Counsel
James R. O’Connor Partner
John G. Schmidt Jr. Partner
Joseph B. Schmit Partner
Meet the Team

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