SECURITIES LITIGATION
We are experienced litigators who defend and prosecute securities-related claims, including disputes between and among public and private securities issuers, brokers and brokerage firms, registered investment advisers, and their respective directors, officers, shareholders, employees and customers.
We routinely handle customer-related claims involving allegations of securities fraud, breach of duty, and other sales practice violations, and broker-related issues such as improper regulatory reporting, employment disputes, and wrongful termination. We also handle matters involving a wide range of financial instruments including common and preferred stock, futures contracts, options, mutual funds, corporate and government bonds, structured notes, emerging market debt, partnership interests, derivatives and swaps.
Our lawyers have extensive experience handling arbitrations at the NASD, New York Stock Exchange, and American Stock Exchange, and handling private securities and commodities litigation in federal court. Typical cases involve allegations of unsuitable investments, registration violations, unauthorized transactions, churning, misrepresentations concerning investments, stock manipulation, margin violations, improper trade execution, securities trading and settlement disputes, employment termination and compensation, violations of restrictive employment covenants and regulatory disclosure.
We understand the economics and practicalities of litigation and use every resource possible to protect our clients efficiently. Although we aggressively pursue all litigation cases, we are strong advocates of mediation as an alternative dispute resolution mechanismwhen doing so is in our clients' best interest.
CORPORATE AND SECURITIES TRANSACTIONS
In addition to structuring and forming entities, such as the creation of limited liability companies, corporations and partnerships, our attorneys specialize in contractual relationships among securities industry participants, such as investment advisory contracts and the creation of hedge funds. We have assisted numerous issuers and placement agents in connection with private placements. We also draft asset purchase agreements, employment agreements, and numerous other documents essential to the completion of corporate transactions.
The firm represents issuers and placement agents, officers and directors, as well as investors.
BROKER-DEALER AND INVESTMENT ADVISER OPERATIONS AND REGULATIONS
Our attorneys represent clients in connection with examinations, inquiries, investigations and actions by the SEC, New York Stock Exchange, FINRA, American Stock Exchange and state securities agencies, as well as internal corporate investigations (whether in conjunction with governmental inquiries, litigation, or on a stand-alone basis).
Our clients include broker-dealers, investment bankers, securities analysts, traders, registered representatives, investment advisers, hedge funds, accountants, promoters, and private investors. Our attorneys have extensive experience in matters involving broker-dealer and investment advisor regulation, securities fraud, and disclosure.
We counsel broker-dealers, registered representatives, investment advisers, hedge funds and other securities professionals regarding registration, compliance, reporting, disclosure, and trading issues.
Services include assisting broker-dealers and investment advisers in the registration process and assisting those firms in the membership and continuance processes with the appropriate regulators. We assist firms before, during and after regulatory examinations and audits, draft broker-dealer compliance and supervisory procedures; and counsel with respect to operations, fees and disclosure.
We work with firms to create an appropriate and cost-effective supervisory program to monitor brokers who have engaged in certain types of serious misconduct or that have a history of regulatory-related incidents. We offer written procedures and a supervisory program that is designed to comply with applicable statutes, rules and regulations, including AML and NASD CEO Certification report preparation.
Securities, Lawyer, Seattle, Washington, California, Nevada, Dave Gaba, David Gaba, Diane Golbeck, Mark Roth, Jim Barbee, James Barbee, Jan Slinn, Washington, California, Nevada, BD, RIA, Broker, Dealer, Broker/Dealer, Registered Investment Adviser, Registered Investment Advisor, Broker-Dealer, San Francisco, Los Angeles, Orange County, Defense, Compliance, Litigation, Transactions, Regulatory Matters, Commercial Litigation, Arbitration, Mediation, FINRA, Series 7, Series 63, Series 24, arbitrators, litigate, stock, bond, share, shares