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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 January 15, 2016
This case concerned a stipulated award in a 1031 Exchange involving alleged undisclosed risks and illiquidity. The panel denied the expungement request of a non-party broker, even though the customer voluntarily opted not to oppose the expungement..., 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
An application to an arbitration panel for a waiver of its fees is a prerequisite for avoiding arbitration on the ground that it is financially prohibitive. A party seeking to invalidate an arbitration agreement on the ground that arbitration is..., 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 14, 2016
SEC Announces 2016 Examination Priorities On January 11, 2016, the SEC announced its Office of Compliance Inspections and Examinations' (OCIE) 2016 priorities. The examination priorities address issues pertaining to financial institutions,..., The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Coleman & Goggin. It is solely intended to provide information on recent legal developments, and is not intended to provide legal advice for a specific...
Law Alerts January 12, 2016
2016 FINRA Regulatory and Examination Priorities Letter On January 5, 2016, FINRA published its 11th annual Regulatory and Examination Priorities Letter, which highlights emerging and existing risks that could adversely affect investors and market..., The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Coleman & Goggin. It is solely intended to provide information on recent legal developments, and is not intended to provide legal advice for a specific...
Defense Digest Article December 1, 2015
By Denis C. Dice, Esq.*   Key Points: Bond suitability and misrepresentation claims are on the horizon. Proper client counseling and disclosure documentation will be critical to defend these claims.   Interest..., Defense Digest, Vol 21, No. 4, December 2015 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 provide...
Law Alerts October 2, 2015
The plaintiff filed a complaint alleging a violation of Section 18 of the Securities Exchange Act of 1934 related to inaccurate information posted on the defendant’s website which the plaintiff relied on to his detriment. To prove liability...,   Case Law Alerts, 4th Quarter, October 2015 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...
Law Alerts October 2, 2015
The claimant filed an arbitration involving various allegations associated with the respondents’ recommendation of four high-risk illiquid investments. The four investments were purchased on August 4, 2004, December 8, 2005, June 5, 2007, and...,   Case Law Alerts, 4th Quarter, October 2015 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...
Law Alerts October 2, 2015
In this matter, the Third Circuit found that the FTC has authority to regulate cyber security as “unfair” practices under Section 45(a) of the Federal Trade Commission Act (Section 45(a)). The defendant, a hotel chain, experienced cyber...,   Case Law Alerts, 4th Quarter, October 2015 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...
Articles July 31, 2015

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Chair

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

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