Securities Litigation & Regulation
Securities & Litigation Law Firm in Detroit & Bloomfield Hills, MI
The Securities Practice Group at Hertz Schram provides advice and representation to securities brokers and dealers, registered representatives, investment advisers, investment advisor representatives, financial planners, insurance agents, corporate directors and officers, and investors. Our securities practice spans the spectrum from court or FINRA and SEC appointed facilitators to litigation, arbitration, mediation, regulation, registration, administrative proceedings, enforcement actions and criminal investigations and proceedings.
The financial services industry, of course, is highly regulated. We are frequently asked to assist our clients in navigating the often treacherous maze of securities statutes, rules and regulations imposed by federal and state governments, governmental agencies and industry self-regulatory organizations. We add value by cultivating and nurturing close relationships with regulators so that our clients can concentrate on their business, instead of being consumed with regulatory oversight.
Michigan Financial Services Industry Law Firm & Detroit Investment Claims Attorneys
Naturally, the factual scenarios, issues and amounts involved in these matters vary. Cases typically involve traditional trading disputes (unsuitable investments, unauthorized trading, churning, misrepresentations and omissions, selling away, front running, etc.) and troublesome employment issues (wrongful termination, statutory and common law discrimination, harassment, defamation, and FINRA-related expungements) as well as class actions alleging securities, Racketeer Influenced and Corrupt Organizations Act (RICO), antitrust and Employee Retirement Income Security Act (ERISA) violations.
We provide securities litigation defense in all types of disputes, including those listed here. Email or call us at (248) 629-2846 for a consultation with a trusted securities litigation defense lawyer.
Naturally, the factual scenarios, issues and amounts involved in these matters vary. Cases typically involve traditional trading disputes (unsuitable investments, unauthorized trading, churning, misrepresentations and omissions, selling away, front running, etc.) and troublesome employment issues (wrongful termination, statutory and common law discrimination, harassment, defamation, and FINRA-related expungements) as well as class actions alleging securities, Racketeer Influenced and Corrupt Organizations Act (RICO), antitrust and Employee Retirement Income Security Act (ERISA) violations.
We provide securities litigation defense in all types of disputes, including those listed here. Email or call us at (248) 629-2846 for a consultation with a trusted securities litigation defense lawyer.
- Arbitration and securities litigation
- Unsuitable investments
- Unauthorized trading
- Excessive commissions
- Lack of suitability in investments/unsuitable investments (too high risk)
- Churning
- Raiding
- Misrepresentations and omissions
- Selling away
- Front running
- Wrongful termination and U-5 abuse, statutory and common law discrimination, harassment, defamation
- Class actions alleging securities, RICO, antitrust and ERISA violations
- Investment products involved in recent arbitrations
- 10B 5 cases
- Non-solicit/non-compete
- Mediation
- Dodd-Frank Wall Street Reform & Consumer Protection Act Compliance
- FINRA-related expungements
Your Securities Litigation & Regulation Attorneys
Our firm was founded on the belief that our clients deserve the best possible representation in disputes, litigation and transactions.
Everyday, our attorneys strive to provide it.
Detroit Financial Services Industry Attorneys – Securities Litigation Lawyers Serving the Areas of Bloomfield Hills, MI & Detroit, MI
Testimonials
Attorney Daniel Rucker was referred to me from a satisfied client. I, too, found my experience with Mr. Rucker very satisfactory. He was able to recover money, that I thought was gone forever, through perseverance and hard work. He was able to get the judgment I needed and all at a reasonable cost. I also was very impressed with his quick response to all my questions and concerns. I would not hesitate to recommend him to others in need of a good lawyer!
Attorney Daniel Rucker provided our church with legal advocacy that was both highly skilled and readily accessible. His knowledge of the law and his ability to communicate and negotiate resulted in a very positive outcome in a situation we believed might have been impossible to resolve.
Great team of Lawyers at Hertz Schram. I would highly recommend attorney Ken Silver and his team.
Business Legal Services
Awards and Accolades
Attorney Ken Silver is a true professional, he is very quick with answers and accurate. His passion for his work shows in our conversations, it has been a real pleasure working with him.