Securities Litigation & Regulation

  • Arbitration and securities litigation
  • Unsuitable investments
  • Unauthorized trading
  • Excessive commissions
  • Lack of suitability in investments/unsuitable investments (too high risk)
  • Churning
  • Raiding
  • Misrepresentations and omissions
  • Selling away
  • Front running
  • Wrongful termination and U-5 abuse, statutory and common law discrimination, harassment, defamation
  • Class actions alleging securities, RICO, antitrust and ERISA violations
  • Investment products involved in recent arbitrations
  • 10B 5 cases
  • Non-solicit/non-compete
  • Mediation
  • Dodd-Frank Wall Street Reform & Consumer Protection Act Compliance
  • FINRA-related expungements

Securities Litigation and Representation of the Financial Services Industry

The Securities Practice Group at Hertz Schram provides advice and representation to securities brokers and dealers, registered representatives, investment advisers, investment advisor representatives, financial planners, insurance agents, corporate directors and officers, and investors. Our securities practice spans the spectrum from court or FINRA and SEC appointed facilitators to litigation, arbitration, mediation, 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, and FINRA-related expungements) as well as class actions alleging securities, Racketeer Influenced and Corrupt Organizations Act (RICO), antitrust and Employee Retirement Income Security Act (ERISA) violations.

We provide securities litigation defense in all types of disputes, including those listed here. Email or call us at 248-494-4486 for a consultation with a trusted securities litigation defense lawyer.

Your Securities Litigation & Regulation Attorneys

Our firm was founded on the belief that our clients deserve the best possible representation in disputes, litigation and transactions.
Everyday, our attorneys strive to provide it.

Bradley J. Schram

Shareholder

"I attempt to treat each individual with the dignity and respect with which I want to be treated."

Kenneth F. Silver

Shareholder

"I’m direct, responsive and an effective fighter for my clients."

Alexander Stotland

Partner

"A creative problem solver and aggressive litigator to resolve your business disputes in your favor, one way or another."

Daniel W. Rucker

Partner

"I am a creative, careful, and credible advocate for a range of clients who cannot find simple solutions."

Patricia Stamler

Shareholder

"A tenacious advocate who resolves complex legal issues for her clients."

Matthew J. Turchyn

Attorney

"I am a creative, strategic, and result-oriented advocate for my clients."

Testimonials

Attorney Ken Silver is a true professional, he is very quick with answers and accurate. His passion for his work shows in our conversations, it has been a real pleasure working with him.

Daniel

Attorney Daniel Rucker was referred to me from a satisfied client. I, too, found my experience with Mr. Rucker very satisfactory. He was able to recover money, that I thought was gone forever, through perseverance and hard work. He was able to get the judgment I needed and all at a reasonable cost. I also was very impressed with his quick response to all my questions and concerns. I would not hesitate to recommend him to others in need of a good lawyer!

Nancy G.

I retained attorney Patricia Stamler to litigate a sensitive employment matter. She recognized the implications that the case had on my life, and she treated me as if I was a member of her own family. She is extremely knowledgeable, motivated, prepared, and genuinely cares about her clients and the outcome of the litigation.

William D.

Attorney Daniel Rucker provided our church with legal advocacy that was both highly skilled and readily accessible. His knowledge of the law and his ability to communicate and negotiate resulted in a very positive outcome in a situation we believed might have been impossible to resolve.

Marlene W.

One of the most important choices you can make in your life is the right attorney to represent you, and for me that was attorney Patricia Stamler at Hertz Schram PC. Stamler understands the law process and shows a commitment to persevere through a complex case. I found Patty’s communication skills excellent as she explained each step of the lengthy process and was there with updates on what was happening between all parties as progress was made. I highly recommend Patricia Stamler for your legal needs.

Dan S.

Great team of Lawyers at Hertz Schram. I would highly recommend attorney Ken Silver and his team.

Steve

Awards and Accolades

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Call us with any of your business legal service needs or questions.