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Securities Litigation & Enforcement Defense

Individuals and companies that are governed by the complexities of securities laws are under a constant burden to comply with a multitude of constantly-changing laws and regulations. Coupled with the possibility of investigation or enforcement actions, it can be especially difficult to unravel all the issues and move towards resolution.

At Jaffe, we offer experienced representation in all aspects of Securities Litigation and Regulatory Proceedings. Our cross-disciplinary team collaborates to provide exceptional, results-oriented representation to individuals and companies on a cost-effective basis.

Our attorneys represent brokerage firms, members of the securities industry, and individuals with securities-related issues in litigation and arbitration. This may include customer disputes, employment disputes, motions to compel arbitration, enforcement of covenants not to compete, forgivable loan agreements, and the competitive raiding of employees.

We regularly represent broker-dealers, registered representatives, and investment advisors in a broad range of regulatory investigations, enforcement actions and disciplinary inquiries before the Securities and Exchange Commission, FINRA, State Regulators and the PCAOB. We defend firms and their employees in both formal and informal investigations and proceedings.

Our attorneys share their expertise by maintaining a strong, active presence at industry meetings, presenting seminars, and providing in-house training to brokerage firms on compliance issues. We are arbitrators and mediators in securities disputes and have developed an excellent reputation for producing positive results as skilled negotiators and successful litigators.

Service Index

  • Litigation and Arbitration for the Brokerage Industry
  • Customer complaints and sales practice disputes (such as suitability, churning, and breach of fiduciary duty claims)
  • Employment disputes
  • Employment counseling before a change in employment
  • Arbitration eligibility and enforcement of awards
  • Recruiting, covenants not to compete, non-solicitation covenants, trade secret, and raiding disputes
  • Injunction and other employment transition litigation and arbitration
  • Defense of SEC, FINRA and state investigations, enforcement actions and disciplinary inquiries
  • Preliminary investigations and subpoena responses
  • Preparation of Wells Responses
  • Representation at formal proceedings and at trial

Representative Matters

  • Winning a $20 million arbitration award for a national securities firm against a competitor for raiding employees.
  • Helping numerous individuals successfully transition to a new position while navigating contractual and other obligations to the previous employers.
  • Resolving claims related to the sale of collateralized loan obligations for a private equity firm.
  • Obtaining a million-dollar settlement for an individual against his former firm for inaccurately reporting the circumstances of his departure.
  • Resolving state and federal regulatory inquiries for securities professionals.
  • Resolving a Securities and Exchange Commission and PCAOB action for members of a CPA firm.
  • Taking to a full hearing a claim by the Michigan securities regulators that securities were sold in violation of Michigan law.
  • Obtaining the dismissal of State and Federal actions against a real estate developer by an investor who claimed that he had become a partner.

Securities Litigation & Enforcement Defense

Securities Litigation & Enforcement Defense

News

August 25, 2021

Jaffe Attorneys Recognized as 2021 “Michigan Super Lawyers”

SOUTHFIELD, Mich., Aug. 25, 2021 – Jaffe Raitt Heuer & Weiss, P.C., a full-service business law firm, announced today that 18 of the firm’s attorneys were recognized in the 2021 “Michigan Super Lawyers” list by Super Lawyers®. Jaffe CEO Jeffrey M. Weiss made the announcement. “Jaffe is committed to providing clients with great professional legal ...

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November 14, 2019

22 Jaffe Attorneys Named as 2020 Top Lawyers by Dbusiness

SOUTHFIELD, MICH., November 14, 2019 – Jaffe Raitt Heuer & Weiss, P.C. CEO Jeffrey M. Weiss announced that 22 attorneys were recognized as 2020 Top Lawyers by DBusiness. The Top Lawyers list is compiled via a peer review survey, polling nearly 20,000 attorneys in Wayne, Oakland, Macomb, Washtenaw and Livingston counties. Each attorney was asked ...

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August 15, 2019

26 Jaffe Attorneys Named as 2020 Best Lawyers in America

SOUTHFIELD, MICH. – Jaffe Raitt Heuer & Weiss, P.C. CEO Jeffrey M. Weiss announced that 26 attorneys were recognized as 2020 Best Lawyers in America©, by the oldest and most respected peer-review publication in the legal profession. According to Best Lawyers©, the lists are compiled by conducting exhaustive peer-review surveys in which ten of thousands ...

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