The securities litigation and securities arbitration attorneys of Napoli Bern Ripka LLP represent investors who suffered misconduct or misrepresentations by their stockbroker, including cases of suitability, fraudulent omissions and representations, unauthorized trading, churning and negligence. If you are the victim of stock broker fraud or any of these investment securities violations and seeking a securities lawyer to represent you, call Napoli Bern Ripka LLP today for a free consultation.
Widely known and highly respected, the law firm of Napoli Bern Ripka LLP and its securities arbitration attorneys have handled hundreds of securities cases and recovered millions of dollars in settlements and awards for victims of stock broker fraud and misconduct. If you need a securities attorney to represent you in state or federal civil proceedings, or arbitrations proceedings such as those before the Financial Industry Regulation Authority (FINRA), you can count on Napoli Bern Ripka LLP to fight for you.
In these challenging economic times, the number of disputes between individual investors and banks, financial institutions and stock brokerage firms has increased tremendously and so has the number of investors seeking the services of arbitration attorneys.
An investor may have cause to retain a securities attorney to file a lawsuit or arbitration if their broker failed to utilize the investor's financial status, tax status, investment objectives and all other relevant information in determining the suitability of an investment for that individual investor. They may also have a case if a broker was too upbeat or overoptimistic about an investment, an indication the broker might have made false statements about a certain security or even omitted negative information about a certain security in order to persuade the investor to invest in that security.
Investors may also seek a securities attorney when their broker buys or sells a security without their prior consent, called unauthorized trading, or executes trades for an investment account solely to generate commissions, known as churning. In situations of stock broker negligence, a sort of “stock broker malpractice,” the broker fails to provide the investor a certain standard of care such as acting with reasonable diligence or prudence in handling the affairs of the investor.
The only way to determine if you have a valid case for securities arbitration or litigation is to consult a securities lawyer who is experienced in these types of cases and knowledgeable about current financial markets and state, federal and FINRA securities laws.
If you would like more information about securities litigation or the services of our securities arbitration attorneys, please visit the dedicated securities lawyer website of Napoli Bern Ripka LLP by clicking here.
Securities Lawsuits
The securities litigation and arbitration department at Napoli Bern Ripka Shkolnik, LLP investigates hundreds of securities and corporate related claims every year. NBR’s practice focuses on securities litigation and arbitration, whistle blower complaints, consumer fraud, employment related securities matters. Our substantial experience in the securities area is crucial in assisting our clients to navigate the industry’s numerous regulatory entities and laws to obtain the results you want.
The attorney’s in this department specialize in rooting out all kinds of financial industry and corporate abuses including fraud, conflicts of interest, and broker negligence. Widely known and highly respected, the law firm of Napoli Bern Ripka Shkolnik, LLP and its securities arbitration attorneys have handled hundreds of securities cases and recovered millions of dollars in settlements and awards for victims of fraud and misconduct.
Cases and Settlements of Note
Securities Lawsuits & Settlements
- Client v. McGinn Smith & Co. The firm represented a retail customer of a registered broker-dealer in a fraud and self-dealing case. Following a three-day arbitration, a panel of three arbitrators found McGinn Smith guilty of self-dealing and awarded our client his full out of pocket losses.
- Client v. Morgan Keegan & Company, Inc. The firm represented a retail customer who purchased Morgan Keegan’s bond funds from third party broker-dealer. The Client alleged that Morgan Keegan misled investors and their brokers concerning the funds holdings. After intense litigation, the chair rejected Morgan Keegan’s argument that those who relied on the firm’s representations contained in the prospectus and other materials disseminated by the firm did not have standing to hold the firm liable in FINRA and awarded the Client her full loss.
- Client v. UBS Financial Services Inc. The firm represented a retail customer in the inappropriate purchase of a private placement that defaulted on its debt. The Client argued that the purchase of the private placement violated the Investment Advisor Act of 1940’s “Qualified Purchaser” provision that was designed to protect consumers from investing in speculative investments. The panel awarded the Client restitution with interest.
- Platovsky v. City of New York. The trial court’s order was affirmed in favor of our client, a litigation financial services company, finding that an arbitration clause in a litigation financing contract was effective against the contracting litigant despite collateral claims that the matter should remain in Supreme Court because the contracting litigant claimed that his trial attorney had been dismissed for cause.
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