Securities Litigation
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Ray Quinney & Nebeker has one of the largest and most experienced securities litigation sections in Utah with over 100 years of combined experience handling securities disputes of all types. We have the resources to handle disputes of virtually any size and the members of our group have recently obtained multi-million dollar settlements or awards in FINRA disputes.
Members of our Securities Litigation Group have handled a wide variety of securities-related litigation cases including:
- Arbitration cases involving stock brokers, brokerage firms and registered investment advisors alleging claims of fraud, failure to supervise, unsuitability, unauthorized trading, churning, selling away and other related claims;
- Representation of stock brokers, broker-dealers and investment advisers in regulatory investigations, licensing disputes and administrative actions by both state and federal regulatory bodies, including the Financial Industry Regulatory Authority, Inc. (FINRA), the Securities Exchange Commission, the Commodities Futures Trading Commission, and the Securities Division of the State of Utah;
- Employment-related securities cases for broker-dealers and investment advisers in arbitration and civil proceedings, including claims for breach of non-compete agreements and misappropriation of trade secrets or confidential information;
- Representation of clients involved in complex securities cases and shareholder disputes, including derivative actions;
- Defense of publicly-held companies in securities class actions; and
- Securities-related RICO and antitrust litigation matters;
If you are interested in affinity fraud issues as they relate to Utah residents please visit our blog about securities fraud in Utah.
If you wish to speak with an attorney about your needs and questions in any of these areas, please contact the chair of our section:
801-323-3380
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