The Securities Litigation Group guides members of the securities industry through the fast-paced and ever-changing landscape of securities arbitration, regulatory enforcement and litigation. The heart of our securities litigation practice is in California, Colorado and Texas, but the team regularly represents broker dealers and other financial professionals in FINRA arbitrations, federal and state courts, and the SEC and state regulatory agencies throughout the country.
GRSM has well-proven experience with the complete range of regulatory and market issues facing full-service, discount, and on-line broker-dealers, as well as broker–dealer affiliates of insurance companies, hedge funds, banks, and other diversified financial services companies that offer investment management, brokerage and financial related services. The group also has a strong track record in handling associated parallel proceedings, concurrent private claims, class actions/multi-jurisdiction cases, and criminal investigations. The group’s trial expertise also includes complex sales practices and consumer fraud actions for life, health and disability insurance products, which involves similar legal theories and issues.
Experienced Trial Lawyers/Unique Qualifications
Ultimately, a client needs an experienced trial lawyer. GRSM is a well-respected litigation firm with a deep bench of trial attorneys who have tried multiple cases throughout the United States. Our securities litigation team includes a former SEC staff attorney, two former trial attorneys with the U.S. Department of Justice, a former staff attorney with a U.S. Attorneys’ Office, several former assistant and deputy attorneys general, and a current securities law professor. Gordon & Rees has offices in major business and financial markets across the country and, as a result, the firm can quickly assemble a team of qualified professionals on short notice.
State and Federal Securities Law Violations
GRSM's securities litigation attorneys defend broker-dealers, registered representatives, investment advisers, compliance professionals, public and private companies, their officers and directors and employees against alleged violations of the Securities Act of 1933, the Securities Exchange Act of 1934, and state blue sky laws as well as other state and federal laws, rules and regulations. GRSM also defends class actions and private actions arising from securities and bond offerings, mergers and acquisitions, representations in proxy statements and prospectuses and stock purchase transactions.
Broker Dealer/FINRA Arbitrations
Our securities litigation attorneys represent broker-dealers and other financial professionals in FINRA arbitration and state court actions, in all types of disputes involving all types of products, including allegations alleging securities fraud, suitability, selling away, unauthorized trading, churning, breach of fiduciary duty, failure to supervise, and other related claims. Our attorneys are also experienced in wrongful discharge claims and claims relating to broker recruiting including unfair competition, raiding and breach of contract.