Securities Litigation Defense: Defending the Financial Services Industry

The Securities Practice Group at Hertz Schram provides advice and representation to securities brokers and dealers, registered representatives, investment advisers, financial planners, insurance agents, corporate directors and officers, and claim services. Our work spans the spectrum of litigation, arbitration, regulation, registration, administrative proceedings, enforcement actions and criminal investigations and proceedings.

The financial services industry, of course, is highly regulated. We are frequently asked to assist our clients in navigating the often treacherous maze of securities statutes, rules and regulations imposed by federal and state governments, governmental agencies and industry self-regulatory organizations. We add value by cultivating and nurturing close relationships with regulators so that our clients can concentrate on their business, instead of being consumed with regulatory oversight.

Naturally, the factual scenarios, issues and amounts involved in these matters vary. Cases typically involve traditional trading disputes (unsuitable investments, unauthorized trading, churning, misrepresentations and omissions, selling away, front running, etc.) and troublesome employment issues (wrongful termination, statutory and common law discrimination, harassment, defamation, etc.) as well as class actions alleging securities, Racketeer Influenced and Corrupt Organizations Act (RICO), antitrust and Employee Retirement Income Security Act (ERISA) violations.

Email or call us at 248-494-4486 for a consultation with a trusted securities litigation defense lawyer.

Experienced Securities Litigation Attorneys

The attorneys of Hertz Schram have more than three decades of experience navigating the maze of securities statutes, rules and regulations faced by our clients in Detroit and southeast Michigan and throughout the United States.

We provide strong litigation defense to securities brokers and dealers, securities brokerage firms, registered representatives, investment advisers, financial planners, insurance agents, corporate directors and claims services. We develop effective relationships with regulators so that you can focus on your business, not on securities regulations.

Our defense lawyers can handle litigation in state and federal courts, as well as litigation or arbitration before the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the American Arbitration Association (AAA) and more.

We provide securities litigation defense in all types of disputes, including those related to:

  • United States Securities and Exchange Commission (SEC) violations
  • Broker fraud/stock fraud
  • 10B 5 cases
  • Churning
  • Raiding
  • Unauthorized trading
  • Excessive commissions
  • Lack of suitability in investments/unsuitable investments (too high risk)
  • Misrepresentations and omissions
  • Selling away
  • Front running

In addition to helping companies with cases involving securities, we can address other business law issues as well as employment law matters.

We are experienced trial attorneys. Our team has the skill and ability to help you and your business navigate the challenges associated with securities litigation. Whether you have been threatened with a lawsuit by a customer or a competitor or you are considering taking action against another party, we will stand by your side.

Our goal is to add value to your business. In addition to providing defense in litigation, we can do so by assisting with securities regulatory matters. We work closely with regulatory agencies so you can concentrate your focus on your day-to-day business. We will represent you in all forms of regulatory oversight concerns that will affect you and your business.

For a consultation with a trusted securities defense litigation attorney, email or call us at 248-494-4486.