Securities Litigation Practice

Since its inception over 30 years ago, Davis & Ceriani has developed a significant securities litigation practice. Over the years, we have represented individual investors in FINRA arbitrations against broker-dealers as well as municipal and corporate bond funds that manage billions of dollars in investments. We have handled a variety of matters of all sizes, in state and federal court and arbitration venues all over the country, and have obtained multi-million dollar jury verdicts and settlements in favor of our clients. We have successfully defended a broker-dealer suit for $150 million in a FINRA arbitration. We have handled matters for our securities litigation clients that include:

  • Account mismanagement
  • Breach of fiduciary duty
  • Churning
  • Federal Rule 10b-5 claims
  • Financial advisor agreement disputes
  • Intentional misrepresentation
  • Investment advisor (stock-broker) misconduct
  • Municipal bond and corporate bond securities fraud
  • Negligent misrepresentation
  • Opt-out
  • Section 16 defense
  • State securities act (blue sky law) claims
  • Unauthorized trading
  • Unsuitable trading