The Miller Nash Graham & Dunn Securities Litigation team has successfully resolved all types of disputes that arise in the securities industry. We regularly represent investment banks, issuers, directors and officers, major wire houses, broker-dealers, registered investment advisers, and others. We have prevailed in defending claims filed by investors in state and federal court, including class actions, as well as in arbitration proceedings or enforcement actions brought before the Financial Industry Regulatory Authority ("FINRA"). As a result, we have extensive experience with virtually every type of securities case, including claims brought under the 1933 and 1934 Securities Acts, as well as claims for fraud, nondisclosure, violation of state blue sky laws, breach of fiduciary duty, and cases involving merger and proxy disputes, insider trading, and corporate governance.
Our team also frequently handles disputes that arise among and between brokerage firms over the recruiting, hiring, or termination of employment of registered representatives. From temporary-restraining-order proceedings in federal court to raiding claims before FINRA, we are very familiar with the legal and practical issues surrounding the enforcement of noncompetition and nonsolicitation agreements, as well as common-law doctrines related to trade secrets and confidential information.
We are proud to have represented such clients as Merrill Lynch, Paine Webber and successor UBS Financial Services, CitiGroup and predecessor or affiliated entities such as Smith Barney, Shearson Lehman Brothers, E. F. Hutton, Black & Company, D. A. Davidson, Wedbush Morgan, Umpqua Investments, Raymond James, and many others.
The services of our team also extend beyond civil litigation. We are available to assist with internal compliance reviews and to represent broker-dealers and registered representatives in administrative investigations and enforcement proceedings. We also maintain a secure Internet online litigation tool that we call "LitTracker," which allows us to share information regarding our case experience, arbitrators, mediators, expert witnesses, and FINRA rules and awards.