Securities Litigation

  • Securities arbitration and litigation: Our attorneys represent clients both in litigation as well arbitrations.
  • Securities regulatory and enforcement proceedings: Bade Baskin Richards has ample experience representing brokerages and investment professionals in regulatory and enforcement proceedings.
  • Stockbroker fraud and misconduct: Our attorneys prosecute and defend investor claims against stockbrokers for alleged violations of securities laws.
  • Securities fraud, misrepresentation and churning: We prosecute claims of misrepresentations and omissions, suitability, churning, unauthorized trading and other federal and state securities law claims.
  • Unsuitable investment claims: Stockbrokers have a duty to recommend suitable investments based on factors such as a customer’s age, income and tolerance for risk.
  • Selling away: Brokers cannot recommend investments that are not approved by the brokerage firm. Many do so, however, in a practice known as “selling away.” Bade Baskin Richards both prosecutes and defends these types of matters.
  • Investment adviser misconduct: Investment advisers have more discretion in managing money than a stockbroker. They also owe a higher duty.
  • White collar criminal defense: Our attorneys defend clients against a range of criminal investigations and prosecutions including white collar crimes such as securities fraud and business fraud.
  • Commercial litigation: Bade Baskin Richards represents entrepreneurs and business owners in disputes over contracts, real estate transactions, covenants not to compete, intellectual property disputes and other commercial issues.
  • Employment and Benefits Litigation: Our attorneys defend employees in wrongful termination and discrimination lawsuits, and help employees protect their benefits rights.