Expert Financial Services and Securities Litigation Lawyers
As the current financial markets and industry landscape rapidly evolve, the scope of regulatory involvement, enforcement, and litigation is expanding at a fervent pace. Murphy & Anderson specializes in handling regulatory issues, arbitration matters, and financial services and securities litigations in Florida and nationwide.
Securities and Financial Services Areas of Practice
Our securities and financial services litigation attorneys are experienced in state and federal securities, class actions, shareholder suits, Financial Industry Regulatory Authority (FINRA)/Securities and Exchange Commission (SEC)/state regulator inquiries and actions, and arbitration matters. They help investment advisors (IAs), financial planners, broker-dealers, registered representatives, insurance companies, fund managers, public and private investment companies, registered investment advisers (RIAs), and industry professionals throughout the U.S. with such cases.
Financial Services and Securities Litigation
We have defended numerous claims under federal and state securities laws. These legal areas include the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisors Act of 1940, and other federal and state statutes and common law.
Our securities and financial services litigation attorneys are well-versed in the enforcement agencies regulating the securities industry. They have appeared before the SEC, FINRA, and state regulators in over 15 states, state attorneys general, the Commodity Futures Trading Commission (CFTC), and other self-regulatory organizations (SROs).
Securities ‘Regulatory Investigations, Compliance, and Reporting
The financial services industry faces new regulatory challenges across the board, from investigations to reporting to enforcement actions. Fortunately, the SEC, FINRA, and state agencies have been active in continuing to expand investigative and enforcement efforts affecting the industry and its registered representatives. These initiatives include the assessment of customer complaints, sales by unregistered individuals, lack of compliance controls, theft, selling away, insider trading, Ponzi schemes, and trading issues.
Our securities and financial services litigation attorneys can assist with compliance rulemaking and implementation from the ground level. They can also provide counsel on the interpretation of trading, reporting, and compliance rules. Additionally, our lawyers can help industry firms and registered representatives through investigations and formal actions initiated by regulatory and law enforcement agencies.
Trading Issues
Murphy & Anderson regularly advises clients on the following issues before they escalate to regulatory and litigation matters:
- Churning Concerns in Certain Product Classes
- Commission Disputes
- Delays in Order Execution
- Incorrectly Filled Orders
- Turnover Ratio
- Unfilled Orders
- When Online Trade Executions Go Wrong
Our financial services and securities litigation lawyers can even assist firms with internal privileged investigations and reporting of issues.
Broker-Dealer Arbitrations
In July 2007, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) combined to form FINRA. This self-regulatory organization is where most consumer and employment matters are arbitrated in accordance with dealer/broker agreements. Our financial services and securities litigation lawyers have the experience and trial and negotiation skills to provide excellent, aggressive legal representation.
After handling hundreds of cases over the last five years alone, our law firm’s track record for success in the following claims and arbitration matters is exceptional:
- Churning
- Customer Disputes
- Execution Discrepancies
- Harassment
- Misrepresentation
- Options Disputes
- Price Fluctuation
- Raiding
- Selling Away
- Suitability
- Theft
- Violations of State and Federal Securities Laws
- Wrongful Termination
Securities Class Actions
Our securities and financial services litigation attorneys have experience in class actions brought under federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investors Act of 1940, and other federal and state statutes and common law.
Shareholder Derivative Litigation
Our financial services and securities litigation lawyers have been involved in multiple derivative litigation matters involving public companies and their officers and directors arising from mergers, acquisitions, executive compensation, and corporate transactions. They have experienced handling these cases in state and federal court, and are frequently called upon to act as local counsel in Florida for these matters.
About Murphy & Anderson
Our team has the experience and skill to provide excellent, aggressive representation in all facets of financial services arbitrations, securities litigation, and related areas. These expertise and capabilities helped Murphy & Anderson become AV-Rated by Martindale-Hubbell and listed in “Best Law Firms in America” (2009–2020 editions). Having managed over 1,000 securities and compliance-related arbitrations, investigations, and litigation matters around the U.S., we have earned an excellent reputation among regulators, financial services firms, and securities lawyers.
Connect with Our Top-Rated Law Firm
Get in touch with us today for remarkable financial services and securities litigation solutions. We are happy to share additional information about our expertise and experience, favorable rates, and alternative fee arrangements in these matters upon request.
Expert Financial Services and Securities Litigation Lawyers
As the current financial markets and industry landscape rapidly evolve, the scope of regulatory involvement, enforcement, and litigation is expanding at a fervent pace. Murphy & Anderson specializes in handling regulatory issues, arbitration matters, and financial services and securities litigations in Florida and nationwide.
Securities and Financial Services Areas of Practice
Our securities and financial services litigation attorneys are experienced in state and federal securities, class actions, shareholder suits, Financial Industry Regulatory Authority (FINRA)/Securities and Exchange Commission (SEC)/state regulator inquiries and actions, and arbitration matters. They help investment advisors (IAs), financial planners, broker-dealers, registered representatives, insurance companies, fund managers, public and private investment companies, registered investment advisers (RIAs), and industry professionals throughout the U.S. with such cases.
Financial Services and Securities Litigation
We have defended numerous claims under federal and state securities laws. These legal areas include the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisors Act of 1940, and other federal and state statutes and common law.
Our securities and financial services litigation attorneys are well-versed in the enforcement agencies regulating the securities industry. They have appeared before the SEC, FINRA, and state regulators in over 15 states, state attorneys general, the Commodity Futures Trading Commission (CFTC), and other self-regulatory organizations (SROs).
Securities ‘Regulatory Investigations, Compliance, and Reporting
The financial services industry faces new regulatory challenges across the board, from investigations to reporting to enforcement actions. Fortunately, the SEC, FINRA, and state agencies have been active in continuing to expand investigative and enforcement efforts affecting the industry and its registered representatives. These initiatives include the assessment of customer complaints, sales by unregistered individuals, lack of compliance controls, theft, selling away, insider trading, Ponzi schemes, and trading issues.
Our securities and financial services litigation attorneys can assist with compliance rulemaking and implementation from the ground level. They can also provide counsel on the interpretation of trading, reporting, and compliance rules. Additionally, our lawyers can help industry firms and registered representatives through investigations and formal actions initiated by regulatory and law enforcement agencies.
Trading Issues
Murphy & Anderson regularly advises clients on the following issues before they escalate to regulatory and litigation matters:
- Churning Concerns in Certain Product Classes
- Commission Disputes
- Delays in Order Execution
- Incorrectly Filled Orders
- Turnover Ratio
- Unfilled Orders
- When Online Trade Executions Go Wrong
Our financial services and securities litigation lawyers can even assist firms with internal privileged investigations and reporting of issues.
Broker-Dealer Arbitrations
In July 2007, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) combined to form FINRA. This self-regulatory organization is where most consumer and employment matters are arbitrated in accordance with dealer/broker agreements. Our financial services and securities litigation lawyers have the experience and trial and negotiation skills to provide excellent, aggressive legal representation.
After handling hundreds of cases over the last five years alone, our law firm’s track record for success in the following claims and arbitration matters is exceptional:
- Churning
- Customer Disputes
- Execution Discrepancies
- Harassment
- Misrepresentation
- Options Disputes
- Price Fluctuation
- Raiding
- Selling Away
- Suitability
- Theft
- Violations of State and Federal Securities Laws
- Wrongful Termination
Securities Class Actions
Our securities and financial services litigation attorneys have experience in class actions brought under federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investors Act of 1940, and other federal and state statutes and common law.
Shareholder Derivative Litigation
Our financial services and securities litigation lawyers have been involved in multiple derivative litigation matters involving public companies and their officers and directors arising from mergers, acquisitions, executive compensation, and corporate transactions. They have experienced handling these cases in state and federal court, and are frequently called upon to act as local counsel in Florida for these matters.
About Murphy & Anderson
Our team has the experience and skill to provide excellent, aggressive representation in all facets of financial services arbitrations, securities litigation, and related areas. These expertise and capabilities helped Murphy & Anderson become AV-Rated by Martindale-Hubbell and listed in “Best Law Firms in America” (2009–2020 editions). Having managed over 1,000 securities and compliance-related arbitrations, investigations, and litigation matters around the U.S., we have earned an excellent reputation among regulators, financial services firms, and securities lawyers.
Connect with Our Top-Rated Law Firm
Get in touch with us today for remarkable financial services and securities litigation solutions. We are happy to share additional information about our expertise and experience, favorable rates, and alternative fee arrangements in these matters upon request.