Technical strength and diverse experience are just two elements required in proceedings before the Securities and Exchange Commission (SEC), district court actions brought by the SEC and private state and federal securities.

The complexity of securities offerings demands smart, solution-driven legal counsel who understands business. That’s why attorneys in Turner Padget’s Security Practice utilize their litigation skills and diverse experience on behalf of institutional and individual clients in matters of securities. We take considerable pride in our representation of matters of business, investment and insurance professionals, and other individuals in lawsuits and arbitrations including those of the Financial Industry Regulatory Authority (FINRA). To obtain and maintain these representations, we purchase and sell stock, bonds and insurance products, in addition to our investment advice given to retail clients.

Our lawyers successfully defend clients’ securities matters in state and federal courts, along with the FINRA and the American Arbitration Association (AAA), a few of which include claims of licensed securities dealers in breach of fiduciary duty and employment litigation. Because we consistently deliver quality work, our clients rely on us to represent and advise investment advisors and managers on matters of both discretionary and non-discretionary investments. 


  • Convinced state and federal law enforcement not to prosecute, or to defer prosecution of, suspected cases of securities fraud.
  • Advised accountants throughout state and federal criminal investigations and related SEC investigations related to financial failure of a publicly traded company.
  • Represented licensed securities dealers in federal court and before a FINRA arbitration panel in claims related to a change in their employment.
  • Defended stockbrokers against claims of negligent investment advice.
  • Defended a seller of investment opportunity against investigation by the state grand jury and the state attorney general’s office.

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