SECURITIES LITIGATION

Securities and financial litigation can involve high-stakes disputes and complex regulations. Our Securities Litigation team represents clients in a wide range of matters, offering skilled counsel and advocacy to protect their interests. From class actions to regulatory enforcement, we work tirelessly to achieve favorable outcomes for our clients in this intricate area of law.

Our services include:

• Shareholder Disputes: We have extensive experience handling stock option disputes, shareholder derivative actions, and cases involving directors’ and officers’ liability.
• Corporate Governance and Investigations: Our attorneys assist with internal investigations and corporate governance matters to ensure compliance and accountability.
• Regulatory Actions: We represent brokerage firms and investment advisors in actions brought by the Securities and Exchange Commission (SEC), the Washington Department of Financial Institutions (DFI), and the Financial Industry Regulatory Authority (FINRA).
• Defend Against Customer Claims: We defend claims against registered investment advisors, investment advisor representatives, broker-dealers, and other industry professionals. These claims often involve allegations of unsuitability, churning, breach of fiduciary duty, fraud, and misrepresentation, frequently addressed in FINRA Dispute Resolution forums or in court.
• Governmental Investigations: We represent clients in investigations and enforcement actions initiated by the SEC, FINRA, and state securities divisions, providing strategic defense to minimize risks and resolve disputes effectively. 

With extensive knowledge of securities law and the financial industry, our team provides solutions tailored to the specific challenges of each case. Whether addressing regulatory compliance or managing litigation, we prioritize protecting our client’s interests at every stage