Securities Law

Areas of Concentration

• Blue Sky law
• FINRA arbitration
• Shareholder disputes
• Broker-dealer arbitration
• SEC and state enforcement
• Securities offerings

National and regional brokers, dealers, investment advisors and insurers rely on the attentive, connected, well-versed and deeply experienced AP&S Securities team to effectively handle complex enforcement, arbitration, regulation and other securities matters with the highest skill and know-how.

Our dedicated and recognized attorneys—who serve as speakers and panelists at national securities conferences, teach securities regulations at law schools, lecture to SEC employees on federal securities laws, and author important articles on securities laws in noted periodicals—provide a full spectrum of regulatory compliance and securities services, including litigation in federal and state courts and regulatory administrative proceedings as well as in arbitration.

We’ve successfully represented both brokers and brokerage houses in churning, unauthorized transactions and suitability claims including punitive damages claims, and brokers and attorneys in insider-trading investigations and SEC enforcement actions.  We’ve challenged SEC damage claims for disgorgement and successfully tried to verdict a shareholder class-action securities fraud claim that the National Law Journal included in its Top Ten Defense Verdicts of the 1990s.

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