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Blog: Securities Litigation

Updated: 01.11.2024
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What Is Considered Elder Financial Exploitation or Abuse in California?

As the population ages, protecting our seniors from financial harm becomes increasingly important. Financial elder abuse in California refers to the...
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Updated: 01.11.2024
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The Wells Process in Securities Enforcement Actions

At the conclusion of an enforcement investigation by the Securities and Exchange Commission (SEC), and before the SEC Commissioners bring or settle a...
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Updated: 01.11.2024
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Recent Increases in Margin Debt Foreshadow a Rise in Securities Litigation

The Wall Street Journal recently reported that the use of margin debt has increased substantially with the recent run-up of the equity markets...
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Updated: 10.28.2020
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Regulators Crackdown On RIAs Employing Advisors Previously Barred By FINRA

The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and their licensed registered representatives. FINRA rules surrounding...
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Updated: 10.28.2020
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Stockbroker and Investment Advisor “Misconduct” Study

On March 1, 2016, the financial press widely reported the release of a white paper by Professors Mark Egan, Gregor Matvos, and Amit Seru entitled...
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Updated: 01.11.2024
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Can I Recover My Attorney’s Fees?

Litigation is expensive. Although every case is different, it is not uncommon for a case that runs through trial to cost each side hundreds of...
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Updated: 01.11.2024
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Barr & Douds Wins FINRA Arbitration for National Broker-Dealer and Expungement for two FINRA Licensed Brokers

We are pleased to report a victory for one of our national broker-dealer clients in a recent decision by a panel of FINRA arbitrators in Los Angeles....
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Updated: 01.11.2024
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Criminal Liability Arising from Interviews with Securities Regulators

“I wish you had called us earlier.” This is often our response when clients call us after they have been interviewed by law enforcement,...
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