The Lawyers of Gerard Fox Law’s Investment and Securities Litigation Group have cultivated a broad and diverse set of experience representing clients ranging from issuers and their officers, directors and employees, to individual investors, to securities industry professionals, to national broker-dealers and investment advisory firms in customer and intra-industry disputes as well as regulatory investigations and enforcement actions by the SEC and Financial Industry Regulatory Authority (“FINRA”). Our lawyers have also defended corporations in securities class actions, shareholder derivative actions, and unfair competition claims.
The Investment and Securities Litigation Group specializes in conducting detailed factual investigations, comprehensive case building and analysis, complex motion practice, and trial or arbitration of claims involving the suitability of investments, breach of fiduciary duty, excessive trading or “churning” of accounts, standards of supervision, funds tracing, vicarious and “controlling person” liability, loss causation and reliance, damage calculation or mitigation techniques, material misrepresentations and public disclosure obligations, as well as various other bases for establishing or defending against liability under federal and state securities laws or self-regulatory organization (SRO) rules. In addition, based on our extensive experience in securities and investment law, our lawyers have also counseled clients in the development of prospective and remedial regulatory compliance protocols.
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