Since its inception over 30 years ago, Davis & Ceriani has developed a significant securities litigation practice. Over the years, we have represented individual investors in FINRA arbitrations against broker-dealers as well as municipal and corporate bond funds that manage billions of dollars in investments. We have handled a variety of matters of all sizes, in state and federal court and arbitration venues all over the country, and have obtained multi-million dollar jury verdicts and settlements in favor of our clients. We have successfully defended a broker-dealer suit for $150 million in a FINRA arbitration. We have handled matters for our securities litigation clients that include:
- Account mismanagement
- Breach of fiduciary duty
- Churning
- Federal Rule 10b-5 claims
- Financial advisor agreement disputes
- Intentional misrepresentation
- Investment advisor (stock-broker) misconduct
- Municipal bond and corporate bond securities fraud
- Negligent misrepresentation
- Opt-out
- Section 16 defense
- State securities act (blue sky law) claims
- Unauthorized trading
- Unsuitable trading