Securities Litigation

We have one of the largest and most experienced securities litigation sections in the region with experience handling a broad spectrum of securities disputes in arbitration, federal courts and state courts.  Litigation matters we have handled include the following:

  • Representation of individual investors, institutional investors, municipalities and public companies in financial disputes with brokerage firms and other financial institutions involving claims of fraud, failure to supervise, unsuitability, unauthorized trading, churning, selling away and other related claims in FINRA Arbitration;​

  • Representation of companies and individuals in regulatory investigations, licensing disputes and administrative actions by both state and federal regulatory bodies, including the Financial Industry Regulatory Authority, Inc. (FINRA), the Securities Exchange Commission, the Commodities Futures Trading Commission, and the Utah Division of Securities;

  • Handling employment-related claims involving stock brokers in FINRA arbitration and civil proceedings, including promissory note disputes, non-compete agreements and misappropriation of trade secrets or confidential information;

  • Representation of individuals, officers, directors and institutional clients in complex securities disputes including shareholder disputes, class-action litigation, derivative litigation, M&A litigation, internal investigations, and investigations and enforcement actions by the SEC, Department of Justice and state attorneys general;

  • Securities-related RICO, FCPA and antitrust litigation matters; and

  • State and federal whistleblower claims.

If you have questions about your case, please call us.  We have the resources and expertise to handle cases of all sizes.  And if we cannot handle it we will refer you to someone who can.  

Copyright © 2018 by Ray Quinney & Nebeker.  All rights reserved.

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