Securities Litigation

Representing clients from major financial sectors, including investment advisory and management firms, broker-dealers, Certified Financial Planners, insurance brokage firms, and their directors, officers, and employees, our securities litigation lawyers combine litigation skills and experience with subject matter knowledge to help with evaluating risk, offering compliance solutions, and charting the best litigation path forward.

Securities Litigation Services

Jennings Haug Keleher McLeod Waterfall’s (JKW) securities litigators have extensive experience in courts at the federal and state level, before administrative agencies, and in arbitrations and mediations. Our lawyers’ experience and depth of knowledge are brought to bear when navigating complex legal claims, burdensome document productions and discovery issues, presenting compelling defenses and, when appropriate, negotiating settlements.

When representing plaintiffs or claimants as well as defendants or respondents in lawsuits, arbitrations, and mediations where the claims involve alleged violations of federal and state securities statutes and industry rules, our team of securities litigators draw from decades of experience to best advocate for our clients.

Representative matters include:

Private Securities Litigation
Broker-Dealer and Investment Adviser Litigation, Arbitration, and Mediation
Director and Officer Liability
Breach of Fiduciary Duty

Inaccurate and Incomplete Disclosure
Misrepresentation of Material Facts
Negligence and Negligent Misrepresentation
Sales of Unregistered Securities