Securities litigation is a highly specialized, multifaceted area of practice involving the application of corporate law, regulatory law, and complex securities laws. Securities litigation cases are generally high stakes and can result in substantial damage awards and negative publicity.

Tien Law Firm’s securities litigation lawyer can handle complex civil securities litigation matters before courts and arbitration panels. Our securities litigator can defend large and small public and private companies, their directors, officers, employees, underwriters and affiliates on a broad spectrum of securities matters, including, investment banks, underwriters, accounting firms, professional advisers, venture funds, majority shareholders, broker-dealers, exchanges, hedge funds and lenders. Industries we may be able to assist include tech, hospitality, healthcare, banking and finance, financial services and retail.

Our securities litigator can also advise on related practice areas such as corporate governance, compliance, securities and white collar criminal defense to provide comprehensive, strategic representation. Our securities litigation defense firm may assist with the following securities litigation matters involving:

  • accounting irregularities
  • breach of fiduciary duty claim
  • broker-dealer defense
  • class action securities litigation
  • claw back actions by receivers and trustees
  • corporate control disputes
  • director and officer liability cases
  • going-public and going-private transactions
  • inaccurate or incomplete disclosure
  • internal investigations
  • mergers and acquisitions and corporate control litigation
  • SEC Rule 10b-5
  • shareholder derivative and class action litigation
  • violations of federal and state securities laws
  • white collar criminal defense

Securities Litigation and Arbitration Defense

Tien Law Firm may be able to assist brokerage firms, mutual fund companies and other financial institutions, registered representatives, financial planners and investment advisers in securities litigation and arbitrations. Securities litigation cases have may involve claims of fraud, churning, suitability, negligence, negligent supervision, market manipulation, order failures, Regulation T violations, unauthorized trading, wrongful termination, defamation, breach of non-compete covenants, and tortious interference claims. Securities litigation cases may involve a variety of securities, including stocks, options, commodities, bonds, derivatives, limited partnerships, mutual funds, collateralized debt obligations, collateralized mortgage obligations, and annuities.