Securities Litigation
(Plaintiffs and Defendants)
James, House, Swann & Downing, P.A. has extensive experience providing counseling and litigation with respect to securities issues. In fact, one of the Firm’s attorneys is a member of an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) and has written law review articles on the subject of securities arbitration.
The Firm has experience both suing and defending companies, officers, and directors for alleged violations of the Securities and Exchange Act of 1934, the Racketeering Influenced Corrupt Organizations (“RICO”) Act, and other Federal and State securities laws. The Firm handles FINRA dispute resolution, including arbitration and mediation services. FINRA is the largest securities dispute resolution forum in the world. Claims in this area often involve alleged self-dealing, breach of fiduciary duty, negligence, misrepresentation, rescission of agreements, common law fraud, and other issues. We have also represented securities firms and broker-dealers.
In light of our Firm's extensive experience with securities litigation, please contact us if we can be of assistance.