Securities Arbitration and Litigation
Page Perry is an investor-focused firm. The flagship part of our practice involves representing investors both in arbitration and court proceedings.
Investor Rights/Securities Brokerage Firm Duties.
Page Perry’s commitment is aimed at “protecting investor rights” and correspondingly compelling securities brokerage firms and other sellers of securities to adhere to their duties and obligations. Page Perry believes that investor rights and securities brokerage firms’ duties are an essential cornerstone of our capital market system.
- What Every Investor Should Know About Investor Rights
- What Every Investor Should Know About the Duties of Securities Brokerage Firms
- What Every Investor Should Know About What Securities Brokerage Firms are Prohibited From Doing
Securities Arbitration
Most disputes between investors and securities brokerage firms or investment advisors are resolved through the securities arbitration process. This is true because most account opening agreements between investors, on one hand, and securities brokerage firms or investment advisors, on the other hand, provide that any dispute will be resolved in an arbitration forum (typically in the forum sponsored by the Financial Industry Regulatory Authority). Many investors do not understand that they have waived their right to sue in court when they sign such agreements but the courts have repeatedly upheld the enforceability of such arbitration agreements.
Securities Litigation
In those circumstances where there is not a pre-dispute arbitration agreement, securities cases are typically brought in court. Such cases are generally brought against an issuer of securities or other seller of securities who has misrepresented important facts and/or engaged in fraudulent or deceptive conduct. Of course, in such situations, the investor has all of the benefit and burden of court proceedings.
Products and Types of Conduct Typically at Issue in Securities Actions
While no two cases are alike, certain types of securities abuses occur repeatedly. Claims filed by this Firm and other’s on behalf of aggrieved investors typically concern one or more of the securities abuses and investments described below. (Click a heading for more detailed information).
Product Problems
- Alternative Investments
- Structured Products
- Reverse Convertibles
- Hedge Funds
- Private Equity Funds
- Non-Traded (Private) REITs
- Closed End Funds
- Exchange Traded Funds
- Variable Annuities
- Private (Reg D) Offerings
- Mortgage Securities and Collateralized Debt Obligations
- High Yield Bonds
- Preferred Stocks
- Leveraged Funds
Other abuses
- Elder Abuse
- Early Retirement Scam
- Misrepresentation & Omission
- Suitability
- Investment Malpractice
- Breach of Fiduciary Duty
- Over-Concentration
- Failure to Follow Directions
- Selling Away
- Ponzi Schemes
- Stock Fraud
- Bond Fraud
- Mutual Fund Fraud
- Unauthorized Trading
- Churning/Excessive Trading
- Margin Problems