Celebrating more than 55 years of exceeding client expections.


Securities Litigation & Enforcement

Our securities litigation and enforcement practice is national in scope and represents clients in all major areas of securities law. We represent brokers, investment advisors, financial planners, and broker-dealers before self-regulatory agencies, state and national regulatory agencies, for customer disputes and shareholder class actions.

Our team advises clients on avoidance of problems and disputes by working closely with clients on compliance, regulatory issues, and disclosure requirements. The key is to develop sound preventative steps, procedures to recognize potential issues and remediation measures. We also have an experienced team that can handle internal and government investigations on behalf of boards of directors or committees, and provide an efficient and cost-effective defense of directors, officers and employees of a publicly-traded company.

We have extraordinary experience representing brokers, investment advisors, financial planners, and broker-dealers before self-regulatory agencies, state and national regulatory agencies, and in customer disputes and shareholder class actions.

We also provide counseling on how to avoid regulatory pitfalls, by holding continuing education seminars and implementing trading programs.


 

 

 

Practice Area Leader

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Headquartered in New Orleans, Servicing Clients Throughout the Nation

  • California

    San Diego

    1545 Hotel Circle South
    Suite 150
    San Diego, California 92108-3426

    T: (619) 758-1891
    F: (619) 296-2013

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    Los Angeles

    1171 Klose Lane
    Fullerton, California 92833

    T: 657-445-6089
    F: (619) 296-2013

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  • Colorado

    Fort Collins

    645 Stonington Lane
    Fort Collins, Colorado 80525-8286

    T: (970) 223-4420
    F: (970) 223-4490

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  • Florida

    Tampa

    3350 Buschwood Park Dr. Suite 195
    Tampa, Florida 33618

    T: (813) 890-2460
    F: (866) 466-3140

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  • Georgia

    Atlanta

    14 Coopers Glen Drive SW
    Mableton, Georgia 30126-2584

    T: (678) 209-7492
    F: (877) 480-5639

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  • Illinois

    Chicago

    120 South LaSalle Street
    Suite 1960
    Chicago, Illinois 60603-3561

    T: (312) 578-0990
    F: (312) 578-0991

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  • Louisiana

    Metairie

    Lakeway Two
    Suite 200
    Metairie, Louisiana 70002-7227

    T: (504) 828-3700
    F: (504) 828-3737

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    New Orleans

    201 St. Charles Avenue
    Suite 3815
    New Orleans, Louisiana 70170

    T: (504) 582-1500
    F: (504) 582-1555

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  • New Jersey

    Flemington

    3 Cross Creek Drive
    Flemington, New Jersey 08822-4938

    T: (908) 237-1660
    F: (908) 237-1663

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  • New York

    Buffalo

    Sheridan Meadows Corporate Park - South
    Williamsville, New York 14221-4800

    T: (716) 636-5178
    F: (716) 625-7497

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  • Ohio

    Cleveland

    15 E. Summit St.
    Chagrin Falls, Ohio 44022-2709

    T: (440) 318-1073
    F: (216) 359-0049

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  • Texas

    Dallas

    Founders Square
    Dallas, Texas 75202

    T: (214) 741-3001
    F: (214) 741-3055

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