Practice Areas & Industries: Kutak Rock LLP

 





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Practice/Industry Group Overview

We counsel and defend broker-dealers, clearing firms, commodity firms, investment banks, issuers, corporate and municipal underwriters, public finance professionals, accounting firms, law firms, corporate executives and other professionals in securities litigation, class actions, arbitrations and mediations. Typical claims include statutory securities law violations, deceptive trade practices and elder abuse claims; violations of self regulatory organization (SRO) rules involving suitability, supervision and other issues; and common law claims for breach of contract, fraud, breach of fiduciary duty, negligence (including negligent supervision and negligent hiring) and civil conspiracy. Our attorneys also advise securities firms, investment banks, issuers and related professional firms regarding risk management and in internal reviews and regulatory investigations involving a range of operational, product-related and sales practice issues.