Securities Litigation

Securities Litigation and Regulatory Investigations and Enforcement Actions

We represent companies and individuals in all aspects of securities litigation and arbitration.  We handle claims of broker/dealer fraud, shareholder and shareholder derivative suits, minority shareholder oppression, and claims under state and federal statutes such as the Private Securities Litigation Reform Act, the 1933 and 1994 Act, and the Texas Securities Act.

Our firm also defends individuals and broker-dealers in investigations and claims brought by the Securities and Exchange Commission (SEC), the New York Stock Exchange, the National Association of Securities Dealers (NASD), the Texas Securities Board, and other governmental and self-regulatory organizations.