Law, Put to practice.

Securities Litigation

Our Securities Litigation practice includes attorneys with significant experience litigating securities-related matters. We divide our services into two categories: disputes between securities offerors and offerees; and disputes between investment firms and their customers.

Disputes between Offerors and Offerees

We represent both buyers and sellers in disputes that arise from securities sold through private placement offerings. Our attorneys have experience in assessing at an early date the exposure of a seller and the potential value of a purchaser’s claim. We also have significant experience in both federal and state courts litigating claims arising from private placement offerings bought under federal and state securities laws and common law claims including fraud, breach of fiduciary duty, and civil conspiracy.

Disputes between Investment Firms and Clients

We represent investment firms, individuals, foundations, and trust companies in disagreements regarding a customer’s account. If a settlement cannot be reached, we routinely litigate through arbitration rather than court proceedings. We frequently represent clients in arbitration proceedings in the forum provided by the Financial Industry Regulatory Authority (FINRA) and its predecessor, the National Association of Securities Dealers (NASD).

The claims we litigate include:

  • Violations of FINRA rules regarding suitability
  • Churning and failure to supervise claims
  • State common law claims of breach of fiduciary duty, fraud, and conversion
  • Violations of state and federal securities laws

Green and Gray 2018 Benchmark Litigation Badge.


Our work in this practice crosses over to the following industries:
Contact one of our Securities Litigation Attorneys today.

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Explore Further: Related News

September 24, 2013
Stoll Keenon Ogden PLLC is proud to announce that eight of the firm’s attorneys have been recognized by Best Lawyers as a 2014 “Lawyer of the Year.”  The attorneys and their respective areas of practice are as follows: Perry M. Bentley: Lexington, Bet-the-Company Litigation John W. Bilby: Louisville, Litigation – Real Estate and Litigation – […]