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Securities Litigation and Brokerage Liability Claims

CS&S has years of experience prosecuting and defending complex securities litigation cases as well as insurance brokerage and stock brokerage malpractice cases involving investor disputes, with specific emphasis in:

Suitability Claims – When brokers recommend a particular investment strategy, they are required by law to have a reasonable basis for that recommendation, to conduct business in an equitable manner, and to reasonably believe that the investor understands the nature of the investment, including the risks. When an investment fails and there are questions of suitability, you should have CS&S on your side.

Failure to Monitor and Supervise Claims – A failure to supervise claim arises when there are investor losses that are allegedly caused by the failure of an investment manager to properly monitor the trading activities of brokers at the firm. We provide time-sensitive legal counsel to determine the law and the facts, and work for the best possible outcome for our clients.

1933 and 1934 Securities Act Violations – The Securities Act of 1933 and the Securities and Exchange Act of 1934 were established to regulate the exchange of securities. They require that any offer or sale of securities be registered with the SEC, and they are intended to protect investors. Alleged violations of the acts are a serious matter, and our attorneys have the knowledge and experience necessary to zealously and effectively represent your interests.

Fraud, Misrepresentation, and Churning Claims – Investors may also make claims of fraud and misrepresentation against a securities firm, when the firm allegedly conveyed false information or concealed pertinent true information. Another claim is churning, i.e., making a large number of trades in order to generate high commissions, against the customer’s interests. We have the knowledge and experience required to protect your interests in such cases.

Non-competition and Non-Solicitation Claims – When claims arise over non-competition or non-solicitation, the attorneys of CS&S have the expertise necessary to guide you through this complex litigation.

FINRA & NASD Arbitration – Our attorneys have years of experience representing clients involved in arbitration with the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers.

Contact Conliffe, Sandmann & Sullivan today to find out more about our legal services.