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