Blog: Securities Litigation

As the population ages, protecting our seniors from financial harm becomes increasingly important. Financial elder abuse in California refers to the...

At the conclusion of an enforcement investigation by the Securities and Exchange Commission (SEC), and before the SEC Commissioners bring or settle a...

The Wall Street Journal recently reported that the use of margin debt has increased substantially with the recent run-up of the equity markets...

The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and their licensed registered representatives. FINRA rules surrounding...

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...

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...

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....

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