The Miller Nash Graham & Dunn securities litigation team has a long history successfully representing firms and individuals in securities litigation and regulatory matters. Our attorneys are trusted advocates to public companies, senior executives, broker-dealers, registered investment advisers, investment banks, securities investment issuers, regional firms, commercial banks, and individual investors.

We regularly represent clients in state and federal court, FINRA arbitrations, and regulatory proceedings. We have experience resolving:

  • Claims under the 1933 and 1934 Securities Acts
  • Claims for breach of fiduciary duty
  • Broker-dealer disputes including raiding and broker transfers
  • Department of Justice investigations
  • Insider trading investigations and litigation
  • Merger and proxy disputes
  • SEC, DOJ, and SRO enforcement actions
  • Securities fraud and state blue sky law actions
  • Securities class action and derivative lawsuits
  • Claims under the Investment Company Act of 1940
  • Claims alleging unsuitability of investments

Our primary objective is to achieve favorable and economical results for our clients. We are proud to have represented numerous national, regional, and local broker-dealer and investment firms. We have also successfully represented groups of injured investors who have been victimized by fraudulent investment schemes and have recovered tens of millions of dollars on their behalf. Our experience includes such investment products and strategies on stocks, bonds, mutual funds, commodities futures, high-yield bonds, options, variable annuities, tenant-in-common investments, REITs, and limited partnerships.

Our securities litigation attorneys are well-respected among state and federal judges and local arbitrators and mediators. We have been recognized by preeminent regional and national publications including Chambers, Benchmark Litigation, Super Lawyers, and Best Lawyers in America®. Our team is comprised of attorneys with decades of experience devoted to securities litigation as well as distinguished trial lawyers, including a Fellow of the American College of Trial Lawyers, members of the American Board of Trial Advocates, and American Academy of Appellate Lawyers.

Examples of Representative Experience

  • Representing dozens of investors in securities fraud mass action to recover nearly $100 million in losses from the Aequitas Ponzi scheme.
  • Won a unanimous defense award in a FINRA arbitration involving claims for securities fraud arising from tenant-in-common investments.
  • Negotiated successful settlement of complex claims in a FINRA arbitration involving variable annuities.
  • Obtained dismissal of shareholder derivative lawsuit, and negotiated successful resolution of shareholder class action, and DOJ and SEC investigations arising from alleged accounting improprieties that led to steep decline in public company’s stock price.
  • Obtained $1.4 million arbitration award and permanent injunction in a dispute between broker-dealers based on claims for corporate raiding and breach of fiduciary duty.