Securities Litigation

San Diego Securities Litigation

Securities litigation is a complex area that requires experienced and skilled representation. At the Law Offices of Philip C. Tencer, our San Diego securities law attorneys represent corporations, officers, shareholders, and individuals in a wide array of securities litigation and governmental investigation. We defend securities class action suits, shareholder derivative clams, mergers & acquisitions-related class actions, and investigations by the SEC and other governmental agencies. Our accomplished securities lawyers have secured awards for investors in litigation over fraudulent stock transactions and broker practices. If you are involved in a dispute involving securities, call our San Diego securities litigation office today.

What is Securities Litigation?

Securities litigation may involve many different aspects involving investments. The most common type of securities lawsuit alleges that a company or brokerage firm did not follow SEC guidelines or other federal and state laws when handling investments. Some examples include the following:

• breach of fiduciary duty
• broker fraud
• insider trading
• unauthorized stock trading
• investment fraud
• accounting malpractice
• market manipulation
• profitability misrepresentation

Litigation on Behalf of San Diego Plaintiffs

The Law Offices of Philip C. Tencer helps individuals and corporate investors recover losses caused by fraud and other inappropriate actions by financial advisors, brokers, and investment firms, including:

• Unsuitable investments: A broker must make recommendations that are consistent with his or her client’s risk tolerance, needs and objectives. A broker has the duty to make investment recommendations that are appropriate and suitable to the client’s circumstances.
• Churning or excessive trading: A broker has a duty to avoid excess account activity that generates commission and fees for the broker rather than gains for the client.
• Breach of fiduciary duty: A broker has a fiduciary duty to act in a diligent and faithful manner to further the client’s best interests.
• Broker fraud: A broker has a duty to avoid making material misrepresentations and also has a duty to disclose information that is relevant to the client’s investment decisions.
• Non-diversification: A broker has a duty to diversify a client’s investments to avoid increased risk of loss.

We also protect the interests of shareholders and investors when poor management, negligent action, or fraud threatens the value of securities. We represent clients in shareholder derivative actions in both publicly traded and closely held corporations.

Litigation on Behalf of Defendants

The Law Office of Philip C. Tencer represents individuals and corporations in defense of charges brought by the SEC or other governmental agency, such as insider trading or broker’s liability. We also defend companies and individual officers that have been accused of committing securities fraud in civil actions brought by investors or shareholders.

Client Counseling

Our San Diego securities lawyers also provide counseling for our clients in matters of risk avoidance and corporate governance. We help officers and boards of directors comply with federal and state securities laws while offering seasoned legal advice on a wide range of securities issues.

San Diego Securities Litigation Attorney

At the Law Office of Philip C. Tencer, our securities litigators are skilled and experienced business lawyers. We understand business objectives, corporate finance and accounting. Securities violations can severely damage the interest of any business or individual, and it is essential that you retain an experienced securities litigation attorney. Our skilled and knowledgeable litigators will aggressively fight for your rights in any securities matter. Contact us today for a free initial case evaluation.

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