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Securities and Investments Professional Liability

Our Securities and Investments Professional Liability Practice Group services a broad client base, including, but not limited to:

  • Registered representatives
  • Financial planners
  • Registered Investment Advisors
  • Brokers/dealers
  • Hedge fund and mutual funds and administrators
  • Financial services outsourcing solution providers
  • Private trust companies
  • Insurance brokers/agents

 
We also handle:

  • Fiduciary liability matters
  • Corporate directors and officers
  • Employment practice liability matters

 
In addition to professional liability matters in state and federal courts, we defend RIAs, brokers and broker-dealers before self-regulatory organizations, state agencies and the SEC. We handle securities arbitration claims before FINRA, AAA and other SROs.
 
Founded in 1962, Marshall Dennehey Warner Coleman & Goggin is one of the largest law firms in the country devoted exclusively to civil defense litigation. We have 500 attorneys in twenty offices strategically located in Philadelphia, Pittsburgh, Tampa, Orlando, Jacksonville, Ft. Lauderdale and communities throughout Pennsylvania, New Jersey, Delaware, Ohio, Florida and New York.

Clients realize a number of benefits from our extensive network of offices: travel time is sharply reduced and the attorneys working out of these offices and living in these respective areas are intimately familiar with the local practice and enjoy a good rapport with the judges before whom they frequently appear.
 
Recognizing the need for a cost-effective approach to the defense of professionals and organizations, we are dedicated to providing our clients with quality, timely and economical service. We are on the cutting-edge in developing innovative and alternative billing practices.
 
We welcome the opportunity to work with you in handling your securities matters. We are also available to conduct presentations, as well as training or compliance seminars at your location or at one of our offices.

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Sep 8, 2011
Attorneys received a trial victory in a case referred by the parties to private arbitration. The plaintiff, a former chief executive of a technology company, acquired company stock with monies borrowed from the company; the loan was secured by a...
Apr 1, 2011
Attorney obtained summary judgment on behalf of a large bank.  Summary judgment was granted in favor of the bank and against a hostile and experienced pro se litigant after protracted discovery and multiple disputes.  Plaintiff claimed that the bank...
Feb 15, 2011
Attorney successfully representing our self-insured broker dealer as well as its president, senior management and in-house attorneys in a FINRA arbitration.  Claimant in the arbitration sued all respondents alleging that they stole his book of...
Dec 6, 2010
Attorneys obtained a defense award in a FINRA Dispute Arbitration where the Claimants sought compensatory damages and the claim was litigated for six hearing sessions. Claimants alleged that Respondents made unsuitable recommendations for DBSI...
Sep 13, 2010
Attorney obtained dismissal in arbitration before the Financial Industry Regulatory Authority (FINRA) for our client, a FINRA member broker dealer. The theory of liability as to our client centered on successor in interest status related to the...
Aug 23, 2010
Attorneys obtained a dismissal with prejudice after four complaints and two motions for summary judgment in a case alleging that the insurance company and the agent employed deceptive sales techniques in an effort to sell life insurance, which they...
Jun 21, 2010
Attorney obtained a complete denial of all of the investor's claims after a three-day Financial Industry Regulatory Authority arbitration hearing. The arbitration panel specifically found that the registered representative (our client) owed no...
Jun 21, 2010
Attorney prevailed after a two-week FINRA arbitration. Although the arbitrators issued a monetary award in favor of the investor, the amount of the award was approximately 25% of the amount that the investor was seeking (not including punitive...
May 17, 2010
Attorneys successfully obtained a release of their international client's large sum of money which was previously attached and held in the court registry. The attorneys' argued for the release of the money under the Court of Appeals for the 2nd...
Apr 26, 2010
Attorney succeeded in persuading the Superior Court to affirm the dismissal of a tax dissenter's lawsuit against a bank. In response to a levy imposed by the federal Internal Revenue Service on the plaintiff's bank accounts for unpaid income taxes...

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Law Alerts October 3, 2016
A brokerage firm petitioned to confirm a FINRA arbitration award recommending the expungement of a client’s allegation of misconduct from the record of one of its brokers. The client opposed the petition, arguing that the FINRA arbitrators did..., Case Law Alerts, 4th Quarter, October 2016. Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent developments of interest to our readers. This publication is not intended to provide legal...
Law Alerts October 3, 2016
An executive of Corvex, an ADT Corp. shareholder, met with the management and board of directors of ADT Corp. to encourage a repurchase of stock to create debt and increase the company’s stock price. ADT Corp. went forward with the repurchase..., Case Law Alerts, 4th Quarter, October 2016. Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent developments of interest to our readers. This publication is not intended to provide legal...
Defense Digest Article September 1, 2016
By Denis C. Dice, Esq.* Key Points: FINRA Dispute Resolution Task Force issues final report with multiple recommended actions. FINRA Board of Governors only authorized for filing with the SEC three proposed amendements....,   Defense Digest, Vol. 22, No. 3, September 2016. Defense Digest is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to...
Defense Digest Article September 1, 2016
By Samuel E. Cohen, Esq.* Key Points: Protecting seniors from financial exploitation is a goal of recently proposed legislation at the state and federal levels. Distinction between state and federal legislation as to whether reporting...,   Defense Digest, Vol. 22, No. 3, September 2016. Defense Digest is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to...
Law Alerts July 19, 2016
An arbitration panel ordered Morgan Stanley to pay more than $8.6 million to a retiree for losses tied to alleged unauthorized trading and unsuitable investments, including an allegedly risky Chinese internet company. The claimant, in his 70s, and..., Case Law Alerts, 3rd Quarter, July 2016 Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent developments of interest to our readers. This publication is not intended to provide legal advice...
Law Alerts April 1, 2016
The plaintiff, a former employee of the defendant, filed an arbitration in FINRA asserting various non-discrimination claims, including tortious interference with contractual relations and infliction of emotional distress. Neither party disputed..., Case Law Alerts, 2nd Quarter, April 1, 2016 Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent developments of interest to our readers. This publication is not intended to provide legal...
Law Alerts April 1, 2016
The plaintiff filed a complaint alleging, among other things, that the defendant misrepresented its business practices and risk controls in violation of the federal securities laws. An example of the alleged misrepresentations included the defendant..., Case Law Alerts, 2nd Quarter, April 1, 2016 Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent developments of interest to our readers. This publication is not intended to provide legal...
Law Alerts January 15, 2016
The panel made the following Rule 2080 affirmative finding of fact: the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation or conversion of funds. The dissenting arbitrator..., Case Law Alerts, 1st Quarter, January 2016 Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to provide...
Law Alerts January 15, 2016
The 11th Circuit Court of Appeals found that an IRS notice advising an investor in a tax shelter that the investment lacked economic substance puts the investor on sufficient notice of fraud so that, if the investor does not exercise reasonable..., Case Law Alerts, 1st Quarter, January 2016 Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to provide...

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Chair

Andrew W. Davitt
Chair, Securities & Investments Professional Liability Practice
(215) 575-2679
awdavitt@mdwcg.com

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