Securities

We represent corporate officers, law firms, individuals, brokerage firms, institutions and companies in connection with federal securities fraud claims, merger disputes, RICO, and class actions in a variety of forums, including federal and state court and before the NYSE.

Andrew T. Solomon has particular expertise before the FINRA. He has successfully represented numerous financial advisors, administrative managers, and branch managers in FINRA and state regulatory investigations and complaints involving the following issues:

  • Selling away;
  • Unauthorized outside business activities;
  • Sales of unregistered securities under Blue Sky laws;
  • Failure to supervise;
  • Improper exercise of discretion;
  • Failure to disclose liens and other violations;
  • Violations of sale practices rules; and
  • Unsuitability

Andrew also has broad experience before the SEC. He has represented individuals and companies in SEC investigations and in defense of claims, including allegations relating to stock option backdating, potential violations of internal control rules, alleged violations of the antifraud provisions of the Securities Laws, and alleged illegal distributions of unregistered securities.