Home / Practice Areas / Broker Dealer Litigation

South Carolina business litigation

Columbia, SC Broker Dealer Litigation Attorneys Resolve Securities Disputes

Vigorous legal action in cases of securities fraud

Legal actions alleging fraud or misrepresentation in stock sales can irreparably damage the reputation of the issuing corporation and any ancillary business that handled the stock, down to the broker or dealer who made the sale. Montgomery Willard, LLC draws upon more than 70 years of combined business litigation experience and thorough knowledge of securities law to provide quality representation to effected parties, including:

  • Corporations
  • Company officers and board members
  • Brokerage houses
  • Individual brokers
  • Individual dealers
  • Investment banking firms

Montgomery Willard clients receive the benefit of personal counsel from a partner attorney with a minimum of 20 years of business litigation experience. Our focused approach to securities fraud defense allows us to martial formidable resources at reasonable expense.

Our meticulous securities lawyers carefully examine all client communications to establish proof of compliance with all applicable rules for disclosure, including:

  • Securities Act of 1933: covering IPO liability
    • Sec. 5 (failure to register)
    • Sec. 11 (misstatements or omissions in registration statement)
    • Sec. 12 (misstatements or omissions in offering statement)
    • Sec. 17 (fraud)
  • Securities Exchange Act of 1934: covering ongoing disclosure violations
    • Sec. 10(b) Rule 10b-5 insider trading, tipping
    • Sec. 18 misleading statements in filed reports

Dynamic representation throughout the securities arbitration process

Securities arbitration proceedings are intricate and must follow the strict guidelines of the Financial Industry Regulatory Authority (FINRA). Montgomery Willard’s litigation attorneys represent brokers, dealers and shareholders in arbitration hearings arising from allegations of broker misconduct such as:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation/fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

Columbia, SC securities fraud litigation and arbitration attorneys protect your financial interests

Montgomery Willard delivers thorough and effective representation that protects your financial interest and your reputation in securities fraud actions. To speak with an experienced attorney in Columbia, SC, call 803-470-0722 or contact us online.

    X

    Contact Form

    We will respond to your inquiry in a timely fashion. Thank you.

    Quick Contact Form