Securities Law

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Duffy & Sweeney’s securities law attorneys are known for providing successful representation for clients in complex securities matters before courts and arbitration panels.

Our securities litigators have over 30 years’ combined experience in securities-related litigation including securities class actions, derivative lawsuits, regulatory investigations, enforcement actions and customer litigation. Our attorneys represent financial service firms, their officers, advisors, brokers and employees as well as high-net-worth individuals with viable claims of investor fraud or mismanagement. Our securities law team is well-versed in all manners of investment products and industry-specific concerns, including fiduciary and trust arrangements, supervision cases and allegations of “selling away.”

Duffy & Sweeney co-founding partner Robert Duffy has been consistently ranked by Chambers USA: America’s Leading Guide for Business and named a “Best Lawyer” by The Best Lawyers in America for his security law expertise.

Our office is based on South Main Street in Providence, Rhode Island in the rapidly developing waterfront / I-195 region, connecting the East Side to Downtown and the Knowledge District. Contact us at 401.455.0700.

Duffy & Sweeney succeeded in securing a $268,000 award for their client in an action against his investment advisor, the advisor’s supervisor and the investment firm. In a 6-day arbitration, Partner Stacey Nakasian built the case that the brokers and their firm had violated various securities regulations and common law duties by recommending and purchasing unsuitable investments in the client’s accounts. She successfully overcame defenses that her client was a sophisticated investor who understood and approved the high-risk trading undertaken in his accounts.
The corporate team represented a real estate project development and management company in its acquisition of a Newport-based yachting and entertainment venue in 2014. The eight-figure transaction involved a private placement of equity under Rule 506 of Regulation D of the securities laws as well as traditional bank financing.
Our litigators won a sizable award including punitive damages in an arbitration against brokers and brokerage firms on claims for churning and failure to supervise.

Securities Law

Securities Law

Duffy & Sweeney co-founding partner Robert Duffy has been consistently ranked by Chambers USA: America’s Leading Guide for Business and named a “Best Lawyer” by The Best Lawyers in America for his security law expertise.

One impressed client notes: "They are one of the top law firms in this marketplace and everyone there is dedicated to ensuring that the client's needs are always met or exceeded."

Clients appreciate the team's "attention to detail" and praise its performance in negotiations: "They play well with others and are highly organized."

"Well-regarded corporate law department providing clients with advice and representation in a diverse array of transactions including M&A and the renegotiation of sales agreements."

“Displays expertise in capital markets transactions and debt financing. Also deals with employee and shareholder issues and has considerable strength in IP licensing.”

"Consilium Partners has been fortunate to work with Duffy & Sweeney on multiple successful M&A transactions over the past 10 years..."

“Satisfied clients praise the firm’s approach to client service saying ‘They are one of the easiest to communicate with, they stay in touch with you during the process. Their client service is tops – they’re the best of the bunch.’”

“This well-respected Providence firm acts for clients in Rhode Island and Massachusetts, but also provides advice extending to national and cross-border clients.”