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Lead Counsel for Broker in a High-Profile Investigation
June 02, 2017
Lead counsel for broker in a high-profile investigation and enforcement action by a state securities regulator. The regulator alleged that the broker’s firm sold auction rate securities to a municipality that did not and could not authorize the purchase of such instruments, and that the investment was unsuitable. The case settled before trial with a minimal fine, no suspension, and no finding of violation of law.
Past results are reported to provide the reader with an indication of the type of litigation we practice. They do not and should not be construed to create an expectation of result in any other case, as all cases are dependent upon their own unique fact situation and applicable law.
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If you are interested in having us represent you, you should call us so we can determine whether the matter is one for which we are willing or able to accept professional responsibility. We will not make this determination by e-mail communication. The telephone numbers and addresses for our offices are listed on this page. We reserve the right to decline any representation. We may be required to decline representation if it would create a conflict of interest with our other clients.
By accepting these terms, you are confirming that you have read and understood this important notice.