Practice Areas

Securities Law

SECURING YOUR FUTURE

The breadth of our securities practice enables us to provide clients with seasoned trial lawyers who are experienced in the financial services industry. Our securities team has represented broker/dealers, officers and directors, and individual investors, both in securities arbitrations, as well as in Federal and State courts across the country. We have expertise in handling claims of underwriting negligence and fraud, suitability, churning, unauthorized trading, control person liability, breach of fiduciary duty, common law negligence and other State and Federal securities law claims. We also have extensive experience in matters related to employment issues, both within and outside, the financial community.

We have a long history as lead trial counsel in complex litigation, including class actions, both within and outside, the securities industry. Our attorneys have represented clients in class actions in Federal and State courts in Minnesota and other states. We have litigation support software systems in place to image, code, abstract, and provide quick access to large volumes of records in document intensive securities and other commercial cases.

Most lawsuits are resolved short of litigation. Our team has extensive experience in many forms of alternative dispute resolution. In response to the increased emphasis upon securities mediation, which has been encouraged by the NASD, we have pooled our resources to resolve cases with the best interest of our clients in mind.

In addition to our legal expertise, one of our attorneys has over 20 years of experience in the securities industry, including positions as a branch manager of an OSJ, director of corporate finance, and as a registered representative. He has held supervisory and registered representative licenses, including Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 7 (Registered Representative), and Series 63 (Uniform State). He has served as a consulting expert and expert witness in a number of cases including, among others, common law fraud, common law negligence, churning, suitability, breach of fiduciary duty, and State and Federal securities violations (including fraudulent representations and omissions).