Securities

Securities Litigation, NASD Arbitration and SEC/NASD Enforcement Action

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Overview

The lawyers at Shendell & Pollock, P.L. and their associates have defended securities class action, shareholder derivative, and other shareholder litigation, SEC investigations and enforcement proceedings, and related litigation and regulatory matters. We represent corporations, officers, directors, as well as broker-dealers, and other institutional investors, in a wide array of complex and transaction-based litigation and governmental investigations. We also coordinate with the SEC Enforcement Division to respond to investigation requests, negotiating the resolution of enforcement actions, and obtaining successful results for our clients.

Our lawyers are experienced in issues related to the Private Securities Litigation Reform Act of 1995, the Securities Act of 1933, Exchange Acts of 1934, The Securities Litigation Uniform Standards act of 1998, ERISA (Employee Retirement Income Security Act), Florida or Blue Sky Law as it applies to claims against financial institutions, insurance companies, insurance agents, security dealers, securities law, and common law. Our lawyers also counsel clients in matters of risk avoidance and corporate governance, including compliance with corporate governance standards, including the Sarbanes-Oxley Act, in order to reduce the risk of liability for securities litigation and government enforcement actions.

Our work often consists of real-time involvement in corporate transactions in order to avoid or aggressively resolve deal-threatening problems in connection with mergers and acquisitions, initial public offerings, shareholder buyouts, recapitalizations, going private transactions, and other fast moving matters of vital corporate importance. Our attorneys offer a sophisticated mix of corporate and litigation experience in counseling clients on corporate governance issues concerning various takeover-related subjects, public disclosure matters, the fiduciary duties of directors and officers, and safeguards against insider trading.

We offer representation in a wide range of situations:

• Broker-dealer and stockbroker liability arbitration before FINRA (customer and industry claims) involving:

- Churning

- Misrepresentations and

- Raiding omissions

- Unauthorized trading

- Selling away

- Excessive commissions Lack of suitability in investments/unsuitable investments (too high risk)

- Front running

• Litigation arising from professional liability claims against securities brokers, registered representatives

- Claims against insurance agents and salespeople

- ERISA claims

- Losses triggered by alleged fraudulent conduct

- Losses triggered by alleged misleading statements on financial disclosures or issuer representations

- Regulatory actions

- SEC investigations or litigation

- Shareholder disputes