The Madoff case may have dominated news headlines by virtue of the sheer magnitude of the alleged crimes, but many other instances of securities malfeasance, though shielded from the glare of publicity, have affected peoples' lives and life savings just as profoundly.
We have represented brokerages, individual brokers and investors in a broad range of securities-based claims. Our lawyers have experience handling matters involving claims based on violations of Rule 10b-5, the '34 Act, suitability, fraud, misrepresentation and nondisclosure, churning, negligence, breach of contract, unauthorized trading and other misconduct by a broker, and a brokerage's failure to supervise individual brokers.
The investment vehicles involved in these cases have included derivatives, options, margin accounts, stocks of all kinds, bonds, mutual funds, partnerships, limited partnerships, and private offerings.
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We obtained a judgment in excess of $2.5 million against an investment advisor for investing in a derivative security. The suit involved claims of securities fraud under the '34 Act, violations of the Investment Advisors Act, and common law claims of negligence and breach of fiduciary duty. Through discovery, we established wrongdoing by the investment advisor and obtained summary judgment for our client.