Securities Litigation

Securities litigation encompasses legal disputes arising from the trading of securities, including stocks, bonds, and other financial instruments. Our firm specializes in representing clients in complex securities litigation, ensuring that their rights are protected in the face of fraudulent activities and regulatory violations. We provide expert legal counsel to investors, corporations, and financial institutions.

2. Legal Framework

The legal framework governing securities litigation in California is intricate, involving both state and federal laws. Key statutes include the California Corporate Securities Law of 1968, codified at Cal. Corp. Code § 25000 et seq., and the federal Securities Act of 1933 and Securities Exchange Act of 1934. These laws establish the foundation for regulating securities transactions and protecting investors from fraud and misconduct.

3. Types of Securities Litigation Cases

Our firm handles a wide range of securities litigation cases, including securities fraud, insider trading, and breaches of fiduciary duty. Securities fraud cases often involve misrepresentations or omissions of material facts in connection with the purchase or sale of securities, actionable under both state and federal law. Insider trading cases focus on the illegal use of non-public information for trading purposes.

4. Securities Fraud

Securities fraud is a serious offense that undermines market integrity and investor confidence. Under Cal. Corp. Code § 25400, it is unlawful to engage in fraudulent practices in the offer, sale, or purchase of securities. Our firm aggressively pursues claims against individuals and entities that engage in securities fraud, utilizing both state and federal legal remedies to secure justice for our clients.

5. Insider Trading

Insider trading involves the illegal trading of securities based on material, non-public information. The Securities Exchange Act of 1934, particularly Rule 10b-5, prohibits insider trading and imposes severe penalties for violations. Our firm represents clients in insider trading investigations and litigation, ensuring that their rights are protected throughout the legal process.

6. Breach of Fiduciary Duty

Corporate officers and directors owe fiduciary duties to their shareholders, including duties of loyalty and care. Breaches of these duties can lead to significant financial harm for investors. Under California law, shareholders can bring derivative actions on behalf of the corporation to address breaches of fiduciary duty. Our firm has extensive experience in litigating such cases, holding corporate leaders accountable for their actions.

7. Class Actions

Class action lawsuits are a powerful mechanism for addressing widespread securities fraud and misconduct. Under Cal. Civ. Proc. Code § 382, investors can join together to file a collective lawsuit against a defendant. Our firm has successfully represented numerous securities class actions, achieving substantial settlements and verdicts that benefit large groups of investors.

8. SEC Investigations and Enforcement

The U.S. Securities and Exchange Commission (SEC) plays a crucial role in regulating the securities markets and enforcing securities laws. Our firm represents clients in SEC investigations and enforcement actions, providing strategic legal counsel to navigate the complexities of regulatory scrutiny. We work diligently to protect our clients’ interests and achieve favorable outcomes.

9. Shareholder Derivative Actions

Shareholder derivative actions allow shareholders to sue on behalf of the corporation for wrongs committed by its officers or directors. These actions are governed by Cal. Corp. Code § 800, which sets forth the procedural requirements for bringing a derivative suit. Our firm is adept at handling derivative actions, ensuring that corporate governance is upheld and shareholder interests are protected.

10. Broker-Dealer Disputes

Disputes between investors and broker-dealers often arise from allegations of misconduct, such as churning, unauthorized trading, and unsuitable investment recommendations. The Financial Industry Regulatory Authority (FINRA) provides a forum for resolving such disputes through arbitration. Our firm represents clients in FINRA arbitration proceedings, advocating for their rights and seeking compensation for losses.

11. Securities Arbitration

Securities arbitration is a common method for resolving disputes between investors and financial institutions. Under the Federal Arbitration Act, arbitration agreements are generally enforceable, and many securities disputes are resolved through this process. Our firm has extensive experience in securities arbitration, providing skilled representation to achieve favorable outcomes for our clients.

12. Conclusion and Contact Information

Our commitment to excellence in securities litigation is unwavering. We understand the complexities of securities laws and are prepared to fight for your rights. If you believe you have been a victim of securities fraud, insider trading, or other misconduct, contact our firm today for a consultation. Let us help you navigate the legal landscape and achieve the justice you deserve.

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Meet Our Attorney

Our Attorney Has Over 20 Years of Experience in Law and Finance

For the last thirteen years, he has been litigating and advising on transactions related to business, real estate, and estate planning matters. Our attorney also has nearly ten years of accounting experience, including his prior career as a financial analyst and accountant in the securities and finance industry. You can feel secure knowing that his broad experience and understanding allows him to keep a watchful eye on all aspects of a lawsuit or transaction. Experience matters. Our attorney is able to produce strategic and efficient results because he has been down your path time and again.

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Book A Consultation.

Monday – Friday: 8am – 6pm
Weekends Available With Appointment

Sacramento:

(916) 818-1838
180 Promenade Circle
Suite 300, Sacramento, CA 95834

Fairfield:

(707) 615-6816
490 Chadbourne Rd A100
Fairfield, CA 94534

San Francisco:

(415) 287-6840
East Third Street San Mateo, CA 94401

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