Regulatory & Securities Litigation

We have a great depth of experience representing public and private companies, officers and directors, securities firms and their registered professionals in a wide range of proceedings including:

• NYSE and FINRA securities arbitrations;
• federal and state commercial litigation;
• Nasdaq delisting proceedings;
• securities related employment and customer disputes, and
• SEC, NYSE and FINRA investigations and enforcement actions.

These matters range from the garden variety investment claims to sophisticated securities fraud actions and enforcement proceedings involving:

• 10b-5 claims;
• officer and director liability;
• improper disclosure;
• market manipulation
• trade reporting violations;
• failure to supervise;
• clearing and trading irregularities;
• research conflicts of interest, and
• sales practice rule violations.

Victor J. DiGioia, 212-599-3322, vdigioia@becker-poliakoff.com
Stanley R. Goldstein, 212-599-3322, sgoldstein@becker-poliakoff.com