Litigation - Securities Litigation

Duffy & Sweeney regularly represents customers, brokers and broker-dealers in cases involving claims of investor fraud and investment mismanagement. Our attorneys have litigated complex securities cases at arbitration and in court. The firm has successfully defended firms and brokers in a variety of matters, including:

• 1934 Act Litigation
• Breach of Fiduciary Duty
• Breach of Contract
• Churning
• Non-Compete
• Failure to Supervise
• Fraud
• Unauthorized Trading
• Unsuitability

The firm also advises broker/dealers and investment managers in developing policies and procedures that ensure regulatory compliance and promote client trust.