Securities Litigation & Arbitration

Figari & Davenport has substantial experience in federal and state securities litigation. We have represented public and private companies, officers, directors, employees, underwriters, and accountants in securities fraud cases involving federal statutory law and regulations, as well as common law claims of fraud and negligence. We have handled litigation involving stocks, options, bonds, employee stock options and mutual funds. Drawing on our extensive class action experience, Figari & Davenport also defends clients in securities fraud class actions and shareholder derivative suits in the southwest and throughout the United States.

We appear on behalf of clients in securities arbitrations before the Financial Industry Regulatory Authority (FINRA) and its predecessor entities NASD and NYSE. We also have substantial experience representing clients in arbitrations before the American Arbitration Association. These representations have included customer complaints relating to unauthorized and excessive trading known as “churning,” unsuitability, failure to supervise, breach of contract, negligence, breach of fiduciary duty, and similar causes of action. Our work for clients in the securities industry also extends to drafting, reviewing, and interpreting arbitration clauses and employment contracts, interpreting provisions of the Sarbanes-Oxley Act, and handling insurance coverage questions pertaining to D&O and other insurance policies. In addition to securities disputes, we have handled hundreds of cases involving the claimed protection of trade secrets for securities firms and their employees as well as for various commercial entities unrelated to the securities industry. These disputes often involve non-competition and non-solicitation agreements.