Securities Litigation

Sedgwick’s securities litigation attorneys have extensive experience defending financial institutions, individuals and investment firms before arbitration panels, state and federal courts and regulatory bodies nationwide. Sedgwick has experience with the regulatory and market issues facing full-service, discount, and online broker-dealers, as well as banks, hedge funds, broker-dealer affiliates of insurance companies, and other financial services firms. We represent clients in securities actions, including shareholder class-action litigation, shareholder derivative actions, investigations and enforcement actions by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority and other federal and state regulators, and internal investigations and audits. 
 

Securities Litigation
 
Sedgwick represents individual and corporate defendants in complex securities litigation against alleged violations of the Securities Litigation Uniform Standards Act, the Private Securities Litigation Reform Act, the Securities Act of 1933, the Securities Exchange Act of 1934, and state blue sky laws.
 
Regulatory Investigations and Hearings
 
Sedgwick represents individuals and firms in connection with regulatory investigations and hearings before various regulatory bodies, including the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and state securities regulators.
 
Broker-Dealer/FINRA Arbitrations
 
Sedgwick's securities litigation attorneys regularly represent broker-dealers, including broker-dealer affiliates of banks, insurance companies and investment advisers, and other financial professionals in FINRA arbitrations and in state and federal court actions across the country. We have extensive experience in disputes involving all types of products, including allegations of securities fraud, suitability, selling away, unauthorized trading, churning, breach of fiduciary duty, failure to supervise, product failures, and other related claims. We are also experienced in wrongful discharge claims and claims relating to broker recruiting including unfair competition, raiding and breach of contract.
 
Sedgwick’s securities litigation attorneys are part of the firm’s Commercial Practices Group, an interdisciplinary team that also encompasses members of the firm’s bankruptcy, business litigation, corporate and real estate litigation and finance practices. Our securities litigators are able to call upon the collective expertise developed within the Commercial Practices Group to provide our clients multifaceted representation.