LGWM’s Securities Practice Group handles all types of securities litigation and regulatory disputes. LGWM attorneys have extensive experience in litigating securities matters in state and federal court and in arbitrations before FINRA and AAA. We represent large broker dealers, independent broker dealers, investment advisors and registered representatives throughout the Southeastern United States. We also have experience representing developers and individuals who have securities-related claims brought against them as part of a residential or commercial development or development of condominiums.
If our Securities Practice Group can assist you in any manner, please contact:
- Represented Broker Dealer and Registered Representatives in Louisiana FINRA Arbitration against numerous Customer complaints in the alleged fraudulent sale of an international telecom stock where claims were in excess of $25,000,000.00.
- Represented Broker Dealer in FINRA Arbitration in Arizona where customer alleged Registered Representative churned account and recommended unsuitable investments.
- Represented Broker Dealer and Registered Representative in Tennessee State Court action where a retired school teacher customer alleged switching in the replacement of a variable annuity and alleged the recommended subaccounts were unsuitable.
- Represented Broker Dealer in California FINRA Arbitration where customer alleged Registered Representative churned account.
- Represented Registered Representative in Georgia FINRA Arbitration where customer alleged unsuitable recommendations related to the Morgan Keegan Bond Fund.
- Represented Broker Dealer and Registered Representative in Pennsylvania FINRA Arbitration where customer made allegations of churning, securities fraud, suitability and unauthorized trading in the handling of an IRA account.
- Represented two New York Registered Representatives in FINRA disciplinary action with FINRA’s Jericho, NY Office.
- Represented Broker Dealer and Registered Representative in a Kentucky FINRA Arbitration where multiple customers alleged churning, securities fraud and unauthorized trading in the handling of their brokerage accounts.
- Represented Registered Representative against multiple customer complaints involving the sale of variable annuities in FINRA Arbitrations with total claims in excess of $2,000,000.00.
- Represented Broker Dealer and Registered Representative against customer complaint involving wrap account where Claimant alleged overall portfolio was unsuitable for her needs.
- Represented Broker Dealer and Registered Representatives in numerous customer complaints throughout the United States and regulatory actions brought by the Arkansas Securities Commission arising out of allegations of unauthorized trading and churning where the claims where in excess of $5,000,000.00.
- Represented Broker Dealer and Registered Representative in multiple arbitrations where allegations included unauthorized trading and unsuitability in the sale of B-share mutual funds.
- Represented Broker Dealer and Registered Representative against customer complaints where customers purchased real estate investments which they claim were unsuitable.
- Represented Broker Dealer in state court against claims involving alleged ponzi scheme perpetrated by Registered Representative.
- Represented Broker Dealer in multiple cases in state court where non-profit charitable organizations alleged Registered Representative recommended a private placement investment which turned out to be a ponzi scheme.
- Represented Registered Representative against regulatory claims brought by the SEC and the State of Arkansas for allegedly engaging in fraudulent conduct when selling securities to seniors.
- Represented Broker Dealer in regulatory action brought by the Mississippi Secretary of State for allegations of failing to maintain appropriate supervisory controls.
- Represented Broker Dealer and Registered Representative in FINRA Arbitration in Mississippi where it was alleged customer account was opened by Registered Representative without Registered Representative ever meeting customer and customer’s funds were invested in a ponzi scheme.
- Represented Financial Advisor and Registered Investment Advisor firm in multiple Arkansas AAA and FINRA Arbitrations where customers alleged their retirement money was put into an overly aggressive trading program.
(12/31/12) - FINRA RULE 5123 & FIRM GATEWAY NOW IN EFFECT
(12/03/12) - FINRA 2012 STATISTICSRead More News
Related Practice Areas
Registered Representative and Broker /Dealer Assistance