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Securities Litigation

The experienced litigators at Gentry Locke have represented both claimants and customers in claims of securities fraud and related issues. We are familiar with the unique aspects of these cases that are almost always litigated before an arbitration panel under the rules applicable to the National Association of Securities Dealers (NASD).

Our experience enables us to assist clients with matters such as:

  • Contests for corporate control—litigation involving proxy contests, tender offers and mergers and derivative litigation
  • Derivative actions alleging breach of fiduciary duty and related torts—suits in federal and state courts asserting violations of the duty of loyalty and care by directors and officers
  • Defense of actions for securities fraud and misrepresentation— short selling violations by directors, officers and other insiders

NASD rules

Have questions? Contact us.