Experienced Attorneys For Securities Litigation And Brokerage Liability In Kentucky
Attorneys of Conliffe, Sandmann & Sullivan, PLLC, have years of experience prosecuting and defending complex securities litigation cases, representing investors as well as brokerage firms and individual brokers. We also handle insurance brokerage and stock brokerage malpractice cases arising from investor disputes.
Located in Louisville, we represent clients in northern Kentucky and statewide, as well as neighboring areas of Indiana and Ohio. If you believe you have been swindled by a dishonest adviser or if you are being sued over investment advice, reach out today to discuss your legal remedies and our experience in this field.
Extensive Background In Securities Law And Investment Disputes
The lawyers of CS&S are well-versed in the full spectrum of securities litigation and broker liability, including claims relating to:
- Suitability of investments (inappropriate risk or failure to advise of risk)
- “Churning” transactions to generate excess fees
- Failure to monitor and supervise investment accounts
- Fraud and misrepresentation regarding investment products, services or fees
- Noncompetition and nonsolicitation agreements (former employees stealing clients)
We have litigated claims alleging violation of the Securities Act of 1933 and the Securities Exchange Act of 1934. Our attorneys are also highly familiar with the Financial Industry Regulatory Authority and the National Association of Securities Dealers, regularly representing clients in FINRA and NASD arbitrations.
What Can You Do If You Are The Victim Of Investment Fraud?
CS&S has represented many individuals and couples who felt they were defrauded or taken advantage of by an investment adviser. You may have suffered losses in your retirement nest egg from an aggressive investment. The broker may have conducted an inordinate number of transactions on your behalf or without your knowledge (churning) to pad their fees at your expense. They may have misled you about what you were purchasing or simply mismanaged your investments.
We have helped those clients recover some or all of their losses by holding those investment companies accountable. In many cases, we are able to recover attorney fees and penalties to make our clients whole. We have also pursued professional malpractice claims against brokers and agents for unscrupulous practices that violate state and federal regulations.
One of our attorneys will examine the circumstances and advise you of your rights and the merits of your case. Sometimes, we are able to negotiate a settlement out-of-court after presenting a claim to the brokerage. In other cases, we have obtained recoveries through FINRA arbitration, which is similar to a mini-trial before a neutral arbitrator who only hears securities cases.
Explore Your Legal Rights And Remedies With A Knowledgeable Securities Lawyer
Our attorneys have prevailed in complex and large-scale securities litigation. But we understand that all of this can be overwhelming and confusing to you. We take pride in our high level of service. As a small firm, Conliffe, Sandmann & Sullivan, PLLC, can offer that one-on-one attention and communication to put you at ease, explain things in plain English and guide you through the legal process.
To discuss your situation, call our Louisville office at 502-934-7090 or send us an email with a few details, and we will contact you soon.