Our attorneys regularly counsel and vigorously represent our clients in a wide range of securities and other complex financial litigation matters. Our significant securities litigation experience includes class actions, stock option disputes, shareholder derivative actions, directors’ and officers’ liability issues, insider trading, corporate governance and internal investigations, proxy contests and mortgage-backed securities.
We represent brokerage firms and investment advisors in regulating actions brought by the Securities and Exchange Commission (SEC), Washington Department of Financial Institutions, and the Financial Industry Regulatory Authority (FINRA).
We also prosecute and defend customer claims against registered investment advisors, investment advisor representatives, investment bankers, broker-dealers and registered representatives. These matters involve claims of unsuitability, churning, breach of fiduciary duty, fraud and misrepresentation, particularly before FINRA Dispute Resolution, but also in court.
On behalf of industry clients, we participate in governmental investigations, leading to disciplinary or enforcement actions, before the SEC, FINRA and the State of Washington Department of Financial Institutions Securities Division.