Securities Litigation and Arbitration
In recent years, federal and state regulation of securities has become more stringent and the amount of cases brought by regulators and private parties have increased dramatically. Riker Danzig Scherer Hyland & Perretti LLP has extensive experience in every aspect of securities regulation and litigation, from handling informal investigations and civil enforcement actions by regulators to representing clients in class action suits and individual actions. Riker Danzig's involvement in securities litigation extends across decades and includes many prominent cases. The firm continues to be a leader in securities litigation, successfully representing clients from publicly held companies and their officers, directors, and employees to underwriters, broker-dealers, pension funds and investment companies.
A significant part of our securities practice involves the representation of registered persons and broker/dealers, their executives, management and brokers, including Wall Street brokerage firms, where customers bring a suit in relation to losses in their brokerage accounts. Our practice encompasses disputes and arbitrations before The Financial Industry Regulatory Authority, as well as federal and state bodies. In the course of our work in the securities area, we have represented several of the largest brokerage firms on Wall Street in matters numbering well into the hundreds. These sales practice cases have involved allegations of unsuitability, churning, unauthorized trading, failure to supervise, fraud and breach of fiduciary duty.
We have also handled numerous employment-related disputes that firms have with current or former brokers, including claims for corporate raiding, breach of contractual obligations and post-employment restraints, misappropriation of confidential information and trade secrets.
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Firm Clients
- AXA Corporate Solutions
- Highlands Insurance Group, Inc.
- Kemper Group of Insurance Companies
- Diamond Chemical Co., Inc.
- Capacity, L.L.C.
- Bouras Industry, Inc.
- Mutual Marine Office, Inc.
- Dittman Incentive Marketing Corp.
- Geptek, Inc.
- Genpro, Inc.
- Ecko Complex, L.L.C.
- Jacobs Engineering
- Modell’s Sporting Goods
- New York Life Agents Reinsurance Company
- Porky Products
- Glamorise Foundations, Inc.
- Proformance Insurance Company
- Solix, Inc.
- Zootoo, LLC
- HSBC Bank
- Banc One
- Prudential Insurance Company
- Lexent Inc.
- Playtex Products Corporation
- North Fork Bank
- Hertz Corporation
- Meow Mix Corporation
- Aeon (U.S.A.), Inc.
- BEA Systems, Inc.
- Bouras Industries, Inc.
- Cameco, Inc.
- C&S Wholesale Grocers, Inc.
- Corporate Fuel Partners
- Bed Bath & Beyond, Inc.
- Dainippon Sumitomo Pharma America, Inc.
- GDC Properties
- Gerber Products Company, Inc.
- Foundation Venture Capital Group LLC
- Ginsburg Development Companies LLC
- Lloyd, Gerstner & Partners, LLC
- McDonald Information Services, Inc.
- Morris Energy Group, LLC
- New York Life Agents Reinsurance Company
- Promident LLC d/b/a Johnson-Promident
- Shipley & Halmos, LLC
- Solix, Inc.
- Wakefern Food Corporation
- WR Capital Partners LLC
- Zenith Optimedia, Inc.
- Dames and Moore
- E.I. Associates
- Herval Construction, Inc
- Parsons Engineering Science, Inc.
- R2D Corporation
- Perini Construction Corporation
- West Morris Regional High School Board of Education
- Casino Reinvestment Development Authority
- Columbia Gas Transmission Corporation
- Bank of America
- Citibank, N.A.
- HSBC Bank
- Provident Bank, etc. v. Edward V. Giannasca (N.Y. App. Div.)
- The Bank of New York
- Alea North America
- AXA Versicherungs AG
- CIGNA
- Alea London Limited
- British International Insurance Company
- Brittany Insurance Company (London)
- Chubb Group of Insurance Companies
- American International Management Association
- Compagnie Europeenne D’Assurances Industrielles S.A.
- Crown Life Insurance Company
- Crum & Foster Insurance Group
- Colonia Insurance Company
- Delta Lloyd Insurance Company Limited
- Dukes Place Holdings, L.P.
- EMC Insurance Companies
- Enstar Group Limited
- Enstar US Inc.
- Excess Insurance Company Limited
- Harleysville Insurance Companies
- Harper Insurance Limited f/k/a Turegum Insurance Company
- Enstar (EU) Limited
- National Casualty Company of America Limited
- Mutual Marine Office, Inc.
- Hudson Reinsurance Company Limited
- Highlands Insurance Group, Inc.
- Management Facilities Corporation
- National Casualty Company of America Limited
- Navigators Insurance Company
- New York Marine & General Insurance Company
- Unique Settings of New York
- Siemens Corporation
- McKessen Corp.
- York Claims Service, Inc.
- Gavan-Graham Electrical Products Corp.
- Triad Consulting Engineers, Inc.
- Jacobs Engineering
- Bayonne Parking Authority