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The lawyers in our Securities and Broker/Customer Litigation Practice Group handle cases involving claims against issuers, brokers, brokerage firms and clearing firms related to the issuance, sale and purchase of securities. Our lawyers have extensive experience defending companies and firms in state and federal courts, as well as before the various arbitration tribunals before which these cases are frequently resolved.

Defense Counsel for Securities Litigation and Arbitration Involving Customer Claims

Issuers, brokers, brokerage firms and clearing firms can face a variety of different types of allegations in customer-initiated litigation and arbitration. At Hand Arendall Harrison Sale, we are intimately familiar with the types of claims plaintiffs’ lawyers typically assert on behalf of their investor clients, and we have had significant success helping our clients avoid liability in state and federal court litigation as well as arbitration before the Financial Industry Regulatory Authority (FINRA) and other entities. We regularly defend companies and firms against allegations such as:

  • Sale and promotion of unregistered securities offerings
  • Unlawful practices in connection with initial public offerings (IPOs), initial coin offerings (ICOs) and initial exchange offerings (IEOs)
  • Disclosure violations and other forms of securities law noncompliance
  • Misrepresentation and omission of material information
  • Insider trading
  • ERISA and other statutory violations
  • Account churning, unsuitable investment advice and other broker claims
  • Violations of Regulation Best Interests (Reg BI)

We represent issuers ranging from publicly-traded blue chip companies to early-stage ventures offering private placements, and we represent brokers, brokerage firms and clearing firms across the country. Our lawyers routinely defend clients against individual plaintiffs’ lawsuits, and our Securities and Broker/Customer Litigation Practice Group has the firepower and resources required to effectively manage and defend against class action litigation on a nationwide scale.

Strategic and Effective Defense for Securities Arbitration, Litigation and Class Action Claims

Allegations of fraud and other unlawful practices can harm companies’ and firms’ public reputations, and they can prove extraordinarily costly if they are not handled effectively. At Hand Arendall Harrison Sale, we work diligently and strategically to ensure that the consequences our clients face as the result of investors’ and customers’ complaints are no greater than necessary.

Speak with a Lawyer in Our Securities and Broker/Customer Litigation Practice Group

For more information about our firm’s securities and broker/customer litigation practice, please contact Practice Group Leader Douglas L. McCoy or any of the other lawyers in the Practice Group.