The consequences of securities investigations, enforcement actions and civil litigation may be significant damages, monetary and other penalties. You might even be prosecuted criminally.
Our lawyers have decades of collective experience representing clients facing damage/actions government investigations and enforcement actions. The subject matter of these proceedings includes the following categories:
- Securities and bank fraud
- Brokerage firm trading practices
- Brokerage firm underwriting practices
- Insider trading
- Investment advisor activities
- Securities offerings
- Foreign Corrupt Practices Act
- Class action proceedings
Our clients come from virtually every aspect of the securities industry and include corporations, corporate officers and directors, major national brokerage houses, NYSE floor brokerage firms, investment advisory and asset management firms, accounting firms and investors accused of insider trading.
Our brokerage firm clients hire us to defend them in customer and industry arbitrations, regulatory inquiries, disciplinary proceedings and investigations by the SEC, NYSE, Financial Industry Regulatory Authority (FINRA) and state agencies. We also regularly represent these clients in civil litigation involving, for example, customer claims, allegations of securities law violations, and employee compensation and termination matters. In addition, we act as regular outside counsel for a number of firms and in that regard handle, among other types of matters, partnership and control disputes. We arbitrate in all regulatory forums and before the American Arbitration Association. We litigate in both state and federal courts in a variety of jurisdictions.
We also conduct internal investigations for clients involving federal securities laws and regulatory and fiduciary duty issues. As attorneys who specialize in securities litigation and enforcement, in the event that you become the target of a criminal investigation or prosecution, we will work closely with Garvey Schubert Barer's white-collar defense and investigations lawyers, who, like us, have preeminent credentials, deep experience and a history of producing favorable results for clients.
Drawing on our extensive knowledge, trial experience and understanding of the securities industry, we tailor our services individually for each client, thereby providing you with the best possible legal advice.
Represented Receiver in case where defendants had been indicted in a $13 million securities fraud case. Assisted Receiver with locating and selling assets, coordinating and managing litigation claims, resolving declaratory judgment actions regarding ownership of receivership estate property, reviewing fraudulent transfers, and obtaining contempt order against individual defendants for violations of orders.
U.S. District Court, Portland, Oregon
Obtained a defense jury verdict on behalf of client accused of insider trading in violation of federal securities laws.
News & Events
- GSB Newsroom, 1.2.19
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- GSB Newsroom, 11.19.18
- Andy Goodman Honored With Peter Perlman Service Award at Litigation Counsel of America (LCA) 2018 Fall ConferenceGSB Newsroom, 11.13.18
- GSB Recognized on U.S. News – Best Lawyers® 'Best Law Firms' 2019 List; Earns Rankings in 40 Practice CategoriesGSB Newsroom, 11.1.18
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- GSB Newsroom, 11.1.17
- Joe Arellano Explains in the Portland Business Journal What Businesses Should Do If Expecting to Be SuedPortland Business Journal (subscription required), 10.13.17
- GSB Newsroom, 8.31.17
- 30 GSB Attorneys Named to the 2018 The Best Lawyers in America® List; Three Lawyers Named ‘Lawyer of the Year’GSB Newsroom, 8.15.17
- GSB Newsroom, 7.11.17
- Garvey Schubert Barer Ranked Among Leading U.S. Firms in Chambers USA 2017 Guide; Four Practices and 12 Lawyers FeaturedGSB Newsroom, 5.26.17
- Portland Business Journal (subscription required), 2.10.17
- GSB Press Release, 7.31.14
- Portland Business Journal, 4.20.12
- Cannabis Business Blog, 2.22.18
- "Insecurity: The Interplay of Ethics and Liability for Securities Lawyers," 39th Annual Northwest Securities Institute - Oregon State BarSpeaking EngagementPortland, OR, 5.3.19
- "State and Provincial Regulatory Updates," 39th Annual Northwest Securities Institute - Oregon State BarPanel DiscussionPortland, OR, 5.3.19
- Speaking EngagementPortland, OR, 11.2.18
- Speaking EngagementBend, OR, 5.10.18
- "Ominous Clouds: Things That Can Make Blue Sky Lawyers Blue," WSBA 38th Annual Northwest Securities Institute CLESpeaking EngagementSeattle, WA, 5.4.18
- "Securities Liability for Transactional Lawyers Under Oregon’s Expansive Blue Sky Law," Oregon State Bar Securities Regulation Section EventSpeaking EngagementPortland, OR, 12.20.17
- Speaking EngagementTigard, OR, 9.13.17
- "Oregon's Blue Sky Securities Law—Better Safe than Sorry," Oregon State Bar 2017 RELU Summer ConferenceSpeaking EngagementBend, OR, 8.18.17
- Panel DiscussionPortland, OR, 3.15.17
- inBrief (Oregon State Bar - Professional Liability Fund), June 2019
- The Verdict, Winter 2019
- The Verdict, Summer 2018
- American College of Trial Lawyers (ACTL), Attorney-Client Relationships Committee, 5.17.18
- Case Note - Attorney Malpractice: Sherertz et al. v. Brownstein, Rask, Sweeney, Kerr, Grim, Desylvia & Hay LLP, 288 Or App 719 (2017)The Verdict, Spring 2018
- American College of Trial Lawyers (ACTL), Attorney-Client Relationships Committee, 3.12.18
- Presentation Outline: "Securities Liability for Transactional Lawyers Under Oregon’s Expansive Blue Sky Law," Oregon State Bar Securities Regulation Section EventGSB Newsroom, 12.20.17
- The American College of Trial Lawyers Journal, Spring 2017
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