Securities Litigation, Arbitration, Regulation and Investigations

In recent years, federal and state regulation of securities has become more stringent and the amount of cases brought by regulators and private parties have increased dramatically.   Riker Danzig Scherer Hyland & Perretti LLP has extensive experience in every aspect of securities regulation and litigation, from handling informal investigations and civil enforcement actions by regulators to representing clients in securities class action suits and individual actions.  

In 2020, our Securities Litigation, Arbitration, Regulation and Investigations practice group was named “Litigation Department of the Year for a Specialty Practice Area” by the New Jersey Law Journal as part of its 2020 Professional Excellence Awards.  Only four law firms were singled out for standout specialty practice areas, all in separate areas of the law.  The team’s impressive victories in high-profile cases, combined with unwavering client service and a deep understanding of our clients’ businesses, earned this special distinction.  See Awards and Honors Methodology.

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Riker Danzig's involvement in securities litigation extends across decades and includes many prominent cases.  Our securities attorneys continue to successfully represent clients from publicly held companies and their officers, directors, and employees to underwriters, broker-dealers, pension funds and investment companies.

A significant part of our securities law practice involves the representation of registered persons and broker/dealers, their executives, management and brokers, including Wall Street brokerage firms, where customers bring a suit in relation to losses in their brokerage accounts.  Our practice encompasses disputes and arbitrations before The Financial Industry Regulatory Authority, as well as federal and state bodies.  In the course of our work in securities law, our securities attorneys have represented several of the largest brokerage firms on Wall Street in matters numbering well into the hundreds. These sales practice cases have involved allegations of unsuitability, churning, unauthorized trading, failure to supervise, fraud and breach of fiduciary duty.   

We have also handled numerous employment-related disputes that firms have with current or former brokers, including claims for corporate raiding, breach of contractual obligations and post-employment restraints, misappropriation of confidential information and trade secrets.