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Securities Litigation
A claim brought against a securities broker/dealer represents more than a legal threat. A broker’s reputation and entire business may be on the line. In such cases, securities brokers and broker/dealers need a legal partner in whom they can have complete confidence. Whyte Hirschboeck Dudek S.C.'s Securities Litigation Team brings decades of deep experience and expertise in producing rapid, successful resolutions for our clients in cases brought before the National Association of Securities Dealers and in the state of Wisconsin. Our clients turn to us for careful, thorough defense and a complete understanding of complicated securities law issues, enabling them to remain focused on their mission: producing ROI for their investor clients.
 
WHD's securities arbitration experience encompasses the following principal areas: 
  • Churning
  • Intentional misrepresentation
  • Negligent misrepresentation
  • SEC Rule 10b-5
  • Common-law negligence
  • Margin claims
  • Suitability
  • Limited partnerships
  • Variable annuities
  • Insider trading
  • Unauthorized trading
  • Breach of fiduciary duty
  • Breach of contract
  • Federal and state employment law
  • Broker recruitment
  • Covenants not to compete

Representative Engagements

Members of WHD's Securities Litigation Team have:

  • Defended claims involving suitability, negligence, churning, misrepresentation, insider trading, unauthorized trading, break-points, failure to supervise, selection of mutual fund share classes and variable annuities purchases.
  • Represented attorneys alleged to have violated various securities laws, or otherwise allegedly breached professional duties, to their clients. Summary judgment, for the alleged negligent drafting of offering memoranda, was granted in a series of complex cases involving multiple real estate partnerships with a multi-million exposure.
  • Successfully represented licensed agents for alleged violation of Wisconsin administrative code provisions involving the purchase of securities and alleged inappropriate use of margin.
  • Analyzed and litigate claims regarding alleged violation of non-compete covenants.

Our Team

WHD’s Securities Litigation Team utilizes decades of deep experience and expertise in successfully defending brokers and broker/dealers in a variety of cases. 
 
Our attorneys possess an uncommonly deep grasp of the complex securities law landscape. We remain committed to staying ahead of changes in law on behalf of our clients. This experience, expertise and dedication enable us to produce the most rapid, successful outcomes possible for our clients.

Attorneys