Securities Law & Litigation

The attorneys at Bahn Herzfeld & Multer, LLP provide a full range of services in the area of securities law, including transactional matters, arbitration, litigation and regulatory matters.

One area of practice is the representation of investors in claims against stockbrokers for securities fraud, churning, breach of fiduciary duty or unsuitability.

Securities fraud can occur when a stockbroker either misrepresents facts to an investor or fails to reveal material facts.

Churning occurs when a stockbroker engages in excessive trading in an investor’s account to generate increased commissions.

Breach of fiduciary duty can occur when a stockbroker acts in his own interests over those of the investor.

Unsuitability may occur when a stockbroker purchases or recommends stocks that are not appropriate for the investor as a result of the investor’s investment goals, income, or assets.

The firm represents investors pursuing these securities claims and others, as well as representing securities brokerage firms seeking to defend against such charges.

For transactional matters in the securities field, the firm provides legal assistance to clients in the following areas:

Preparation and implementation of private placement offerings.

Representation of broker dealers and investment advisors in SEC, NYSE, NASD and AMEX registration, regulatory and compliance matters.

Representation of clients involved in business sales and acquisitions.