PRACTICE AREAS

Securities Litigation and Enforcement

We represent investors and institutions in FINRA, JAMS and AAA arbitrations, administrative proceedings, and state and federal court actions. Whether you are an investor reeling from undeserved investment losses, an institution involved in a dispute with your trading partner, or an institution or employee accused of wrongdoing by an investor or regulator, we have the experience to understand, strategically investigate, and prosecute or defend your case to a successful outcome whether through negotiate settlement, mediation or trial.

Securities Litigation Attorneys
SECURITIES LITIGATION

Annuities and Insurance Products

We represent investors and institutions in FINRA, JAMS and AAA arbitrations, administrative proceedings, and state and federal court actions. Whether you are an investor reeling from undeserved investment losses, an institution involved in a dispute with your trading partner, or an institution or employee accused of wrongdoing by an investor or regulator, we have the experience to understand, strategically investigate, and prosecute or defend your case to a successful outcome whether through negotiate settlement, mediation or trial.

SECURITIES LITIGATION

Securities Arbitration

We represent individual investors, brokers, financial advisors, sales assistants, managers, other registered representatives, and financial institutions in securities arbitrations, often before the Financial Industry Regulatory Authority – Dispute Resolution or FINRA. The most common claims we handle include claims involving: asset allocation, breach of fiduciary duty, churning, excessive margin, failure to diversify (over-concentration), failure to supervise, fraud/misrepresentations and omissions, private placements, ponzi and pyramid schemes, and suitability.

SECURITIES LITIGATION

CRD Expungements & CRD Defamation

A tarnished CRD (Central Registration Depository) record not only hurts an advisor’s reputation, but in today’s environment it very likely will draw unwanted attention from regulators, lawyers, and would-be employers. Expunging a frivolous mark from your CRD record, or reforming your CRD, can help you win more business, stay off regulators’ “bad broker” lists, and appeal to more would-be employers.

SECURITIES LITIGATION

SEC and FINRA Inquiries

Whether a Securities and Exchange Commission subpoenas or Financial Industry Regulatory Authority 8210 Requests, we defend and protect clients.

SECURITIES LITIGATION

Structured Products

The creation, promotion and sale of structure products to retail investors increased substantially before and since the 2008 market collapse. These products, including highly leveraged index, equity and other linked notes and trading strategies, were created for institutional trading desks and investors, and, therefore, can be too complex for investment professionals, and often retail investors, to understand. Not only are these products complex, but very often the potential reward is available from less risky and cheaper alternatives. We have handled numerous cases involving these structured products and know the “hot button” issues that arbitration panels and regulators alike are concerned with, and we can help you investigate and prosecute or defend against these claims.

SECURITIES LITIGATION

Raiding

If your competitor has hired away – or if you are being accused of having hired away – a significant number of branch office or trading desk producers that you may have – or may be facing – a “raiding” claim, which requires fast, in-depth analysis and action that could result in or avoid damages, attorney’s fees, costs and/or interest.

SECURITIES LITIGATION

Trading Disputes

We represent institutional trading partners, such as hedge funds and investment advisors, in trading disputes with their institutional trading partners, whether that means negotiating a resolution that allows our client to salvage a trading relationship or litigating against a dishonest trading partner to secure the trade for which you had negotiated.

SECURITIES LITIGATION

Although stockbrokers and brokerage firms legally have an obligation to act in the best interests of their clients, unfortunately, that does not always happen. In a high-stakes financial situation, you could find yourself the victim of misconduct by your financial representative for any number of reasons…

Jessica Covington is an associate in the Los Angeles office of RMO LLP. Jessica focuses on two areas of litigation: (1) representing beneficiaries, professional and corporate fiduciaries (administrators, executors, trustees, conservators, and guardians) in contested trust, estate and probate litigation; and (2) representing businesses, business owners, directors, executives, members, officers, partners and shareholders in business litigation and commercial disputes…

Trust and probate litigation attorney in Los Angeles
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