Securities and Futures Litigation

The attorneys of Graubard Miller have extensive experience representing broker-dealers, financial institutions, corporations, entrepreneurial enterprises, investment advisory firms, and individual officers and directors in disputes involving alleged violations of securities and futures laws.

Graubard Miller has litigated numerous corporate finance, securities and futures issues on behalf of a varied clientele. Whenever possible, we strive to provide our clients with proactive advice to minimize potential exposure and avoid litigation. Where claims do arise, we offer cost-effective, aggressive advocacy tailored to each client’s specific objectives.

In our securities and futures litigation practice, we represent clients before federal and state courts, and before federal, state and self-regulatory authorities, including the SEC, FINRA, NYSE, AMEX, and CFTC. We defend corporations and individuals in federal securities class actions and shareholder derivative suits. When the SEC, the NYSE, FINRA or the CFTC brings an investigation or civil proceeding in connection with issues such as insider trading or broker-dealer compliance, we ably represent our clients’ interests. We also defend and prosecute claims arising out of complex derivatives and commodities transactions.

Graubard Miller represents corporations, officers, and directors accused of securities law violations. We also prosecute and defend securities claims in proxy contests, control disputes, and other corporate litigation.