Securities Arbitration and Investment Fraud Litigation

At Lax & Neville LLP, our securities arbitration and investment fraud practice is staffed by seasoned trial lawyers and focuses on serving our clients in all respects. Our securities arbitration and investment fraud practice focuses on resolving securities and investment disputes through federal, state and appellate court litigation, negotiation, mediation, or in arbitration before the Financial Industry Regulatory Authority, Inc. (“FINRA”), the American Arbitration Association (“AAA”), and JAMS. Lax & Neville LLP represents our clients in a timely and cost-effective manner in various securities arbitrations and investment fraud litigation matters including:

  • Investor Protection and Securities Arbitration: Lax & Neville represents investors in securities arbitration and litigation against some of the largest international financial firms. Our attorneys represent all types of investors, including retail investors, ultra high net-worth individuals, family offices, pension plans, and fund of funds against brokerage firms, investment advisors, and other financial companies in arbitrations before the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the American Arbitration Association (“AAA”). Our securities arbitration attorneys represent clients in matters involving:

  • Investment Advisor Dispute Arbitration and Litigation: Lax & Neville LLP also represents investors in arbitration and litigation against investment advisers, including when an investment advisor breaches its fiduciary duty to its customer, or engages in other sales practice abuses.

  • Hedge Fund Disputes: Lax & Neville LLP represents investors, professionals, and funds in hedge fund litigation or arbitration. In the past, we have represented investors who were defrauded in hedge fund investments and hedge fund managers and general partners accused of misconduct, as well as hedge funds that were defrauded in making investments in their portfolio companies.

  • Derivatives and Swaps: Lax & Neville LLP represents investors and buy-side “end users” in arbitrations and litigations against investment firms regarding complex derivatives transactions, including options, forwards, futures, “over-the-counter” (OTC) derivatives, and swaps.

  • ISDA Agreement Arbitration and Litigation: Lax & Neville LLP represents investors in arbitrations and litigations against financial firms, where the security or investment product at issue is governed by an ISDA Master Agreement or other master service agreement. These agreements generally cover a complex series of transactions between extremely sophisticated trading partners.

  • Structured Products: Lax & Neville LLP represents investors in litigation and arbitration against financial firms that have recommended and sold structured products. Structured products are securities designed to facilitate highly customized risk-return objectives and may contain extremely complex features. Increasingly, financial firms are marketing structured investments to their high-net worth retail clients. However, these investments may only be suitable for the most sophisticated clients who can fully understand all of the product’s risks.

  • Investment Banking/Placement Agent Arbitration Litigation: Lax & Neville LLP represents clients in disputes arising out of investment banking and placement agent agreements in both arbitration and in state and federal court litigation. Our attorneys can successfully prosecute claims on behalf of investment banks and placement agents against both domestic and foreign entities and we have successfully obtained and enforced awards exceeding $10 million.

Our attorneys have represented hundreds of investors in securities arbitration and investment fraud litigation. We are proactive in determining our clients’ options and strategies to optimize the possibility of a successful outcome. Our attorneys assess all advantages and and disadvantages of a particular litigation strategy. This allows us to work towards an effective and satisfactory resolution for our clients.

Contact the attorneys of Lax & Neville LLP for a free consultation with an experienced securities arbitration and investment fraud litigation lawyer. 

Client Reviews
The Lax & Neville team were total professionals in handling our case. They've clearly had quite a bit of experience handling complex legal matters in many jurisdictions and courts. I was impressed with their professionalism coupled with persistence in arguing a very complete and well-structured case. I highly recommend their services. Anonymous
I am very, very happy with the outcome of my case and my experience with Lax Neville could not have been better. The entire team of attorneys and staff are real professionals, they always had time to answer my many questions about my case. I was treated with compassion and respect. I am so grateful I chose to work with Lax Neville. Anonymous
This is an official " thank you" for all your hard work. It really was a pleasure to have you represent me, and I enjoyed seeing you, Rush and Sandra in action. I think Lax and Neville epitomizes the phrase "quality vs quantity". I think I told you before that I spent a lot of time researching firms; in this case things worked out, I picked the best firm. I hope I never need your services in the future, but if I do I know I found the best attorneys for these types of legal issues. Anonymous
What transpired at the [redacted] was nothing less than a truly masterful and exceptional experience regarding your intelligence, professionalism, preparedness for my case, teamwork and erudite knowledge pertaining to Securities Law, FINRA and the SEC. The facility and ease of how the case was handled, the systematic questioning of all the witnesses to obtain the facts necessary to prove our case, the preparation of the critically conclusive information and documents, the commanding coup de gras closing argument and your tireless consideration and respect for the Panel and [redacted] was, is and will continue to epitomize my feelings and conclusion that what transpired over those long three days was nothing less than raw and unabashed brilliance. Anonymous
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