Securities Litigation

The Securities Litigation Section is led by David Clouston (Dallas).

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Advising Clients on Securities-Related Issues

On a nationwide basis, we represent clients in all major areas of securities law and handle claims involving broker-dealers, investment advisors, financial planners, clearing firms, and brokers. We assist clients in conducting internal investigations related to suspicious activity and counsel clients on how to avoid regulatory pitfalls by holding continuing education seminars and implementing training programs.

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Handling Securities-Related Claims

We regularly represent clients before self-regulatory agencies, state and national regulatory agencies, and in customer disputes and shareholder class actions. We have tried numerous cases over the last 20 years and our team has honed the specific skills necessary to efficiently and effectively try these cases often with only the limited discovery tools permitted in arbitration. Our attorneys appear throughout the nation in federal and state courts and also have appeared before:

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• The Financial Industry Regulatory Authority (FINRA)
• The American Arbitration Association (AAA)
• The United States Securities Exchange Commission
• State regulatory authorities

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‍What We Provide

We can help you by providing:

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• Advice on avoidance of problems and disputes by working closely with clients on compliance, regulatory issues, and disclosure requirements.
• Development of sound preventative steps and procedures to recognize potential issues and remediation measures.
• Handle internal and government investigations on behalf of boards of directors or committees.
• Provide an efficient and cost-effective defense of directors, officers, and employees of publicly traded companies.
• Conduct internal investigations related to suspicious activity to discover and offer remedial alternatives before the issue becomes an external regulatory action or complaint.
• Defense covering claims such as suitability, churning, unauthorized trading, breach of fiduciary duty, fraud and misrepresentation, negligence, and failure to supervise.
• Litigation and arbitration involving products such as auction rate securities, mortgage-backed securities, options, collaring strategies, annuities, margins, life settlements, alternative investments, and all types of stocks, bonds, and mutual funds.