Securities Litigation and Arbitration and Regulatory Investigations
Clients frequently call upon OP to handle complex securities litigations and arbitrations and to advise them in connection with investigations by governmental agencies and self-regulatory organizations. Examples of securities matters handled by the firm include:
- Fraud Claims Under the Securities Exchange Act and New York’s Martin Act
- Investment Advisers Act claims
- Proxy Disputes
- Claims Concerning Securities of Privately Held Companies
- SEC, CFTC, and FINRA Investigations
- Claims Against Broker Dealers and Registered Persons in FINRA Arbitrations