Securities Litigation Practice

Since its inception over 30 years ago, Davis & Ceriani, P.C. 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 court, federal court and in arbitrations all over the country, and have obtained multi-million dollar jury verdicts and settlements in favor of our clients. We have even successfully defended a broker-dealer suit for $150 million in a FINRA arbitration. We have handled matters for our securities litigation clients that include:

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