We defend broker-dealers in the full range of enforcement inquiries and actions brought by the SEC, NASD and the Department of Justice. These include insider trading and manipulation issues, fiduciary duty claims, general solicitation issues, misleading advertising claims, investment company registration claims against private funds, and investment adviser and broker-dealer registration claims against private fund interests.
We represent broker-dealers in litigation relating to the promotion of investments and investment products, including investor litigation in the U.S. and abroad. We defend clients in investor disputes involving, among other issues:
- Fiduciary duty claims (such as self-dealing, side-by-side trading, non-disclosure of conflicts and oppression of minority shareholders)
- Duty of care and business judgment rule-based claims
- Claims based on adequacy or effectiveness of disclosure
- Suitability claims
- Prohibited transaction claims.