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.
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:
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:
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: