FLORIDA AND FEDERAL SECURITIES LITIGATION AND SECURITIES ARBITRATION
We practice securities litigation in all Florida state courts and the U.S. District Court for the Southern District of Florida, and securities arbitration before self-regulatory industry forums such as the Financial Industry Regulatory Authority (“FINRA”), and other independent non-industry forums such as the American Arbitration Association (“AAA”).
We also represent businesses and individuals, such as publicly traded corporations and officers and directors of publicly traded corporations, when they are under investigation before the U.S. Securities and Exchange Commission (“SEC”), the Florida Financial Services Commission, or the Office of Financial Regulation of the Florida Financial Services Commission, when they are subpoenaed to appear before the SEC or Florida securities regulators to testify or produce documents or information, or when they are the subject of legal proceedings brought by the SEC or the Florida securities regulators.
Our experience in the area of securities litigation is extensive, and spans nearly three (3) decades. During this time, we have represented numerous investors in litigation against broker-dealers, investment advisors, financial planners, promoters of privately-placed securities offerings, and sellers of unregistered securities and Ponzi schemes, industry professionals who are engaged in litigation against other industry professionals, and public and privately-held corporations, together with their officers and directors, who find themselves the subject of proceedings brought against them by the SEC and Florida securities regulators, or in litigation or arbitration proceedings brought against them by investors.
One of our Firm’s partners has been qualified to, and has testified in court on numerous occasions as an expert witness on securities law issues relating to exempt securities offerings, informational disclosure requirements related to public and private securities offerings, and securities compliance requirements relating to the resale of restricted securities.