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

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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

Securities Litigation

JKW’s securities litigation attorneys are led by Paul Roshka, who is known as a go-to source for many in the financial sector regarding securities related litigation matters.  He is supported by the firm’s team of litigators who serve businesses and individuals in Arizona and New Mexico, as well as across the nation.

Contact the securities litigation attorneys at Jennings Haug Keleher McLeod Waterfall.

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Jennings Haug Keleher McLeod expands by adding the talented lawyers of Waterfall, Economidis, Caldwell, Hanshaw & Villamana. Now with offices in Albuquerque, New Mexico as well as Phoenix and Tucson, Arizona, the Firm will continue to serve its clients across the Southwest under the name Jennings Haug Keleher McLeod Waterfall LLP.