Securities Litigation

Securities litigation is a complex area of law and advocacy. At the Law Offices of Anthony C. Duffy, we represent parties, including companies and individuals, in a broad range of securities litigation proceedings. Such actions include lawsuits brought by investors, companies, broker/dealers and proceedings by governmental and securities industry regulatory agencies.

The mission of this office includes providing large law firm quality services with the personal representation and cost efficiencies of smaller firms.

Federal law, including the Securities Act of 1933, the Securities Exchange Act of 1934 and other federal statues and regulations, as well as the California Corporate Securities Law of 1968, have detailed requirements and procedures. Compliance is required and failure to adhere to binding standards and rules can result in regulatory or civil cases and liability in Federal and California Courts.

These securities laws can have a significant impact not only on publicly listed and traded securities, but also on private businesses who may not recognize that their seeking funds and investors, and other transactions involving offerings, entity ownerships and investments, may be subject to Federal and California securities laws.

The securities laws provide for registration and disclosures, including to prospective investors in securities purchase and sale transactions. These laws are designed to prevent fraud, deception and misleading information.

Securities and Exchange Commission rule 10b-5 is a commonly applied regulation of “insider trading” and prohibits the use of confidential information to gain an unlawful advantage in securities transactions.

A business or real estate venture, and the principals and promoters thereof, who violate these mandates, can face Federal, state and private regulatory proceedings and sanctions, as well as civil litigation by disappointed and often aggressive investors, their legal counsel or other parties.

Customer complaints against broker dealers, such as stock and bond brokers and their brokerage firms, can be brought in Courts or before the Financial Industry and Regulatory Authority (FINRA), as examples, and can result in significant monetary and other liabilities and recoveries. The various securities exchanges have their own sanctions for securities violations.

Securities litigation requires knowledgeable, skilled and experienced legal counsel to protect and enforce the parties’ rights and interests. Practical and efficient strategies, diligent and cost-effective case management and preparation, as well as skilled advocacy in court by qualified counsel are essential.

Anthony C. Duffy, who is a recognized as a pre-eminent litigation attorney, has extensive and successful experience in representing parties defending or asserting securities claims and litigation. Mr. Duffy personally has represented parties in numerous complex and other securities related actions and proceedings over a multi decade period.

Mr. Duffy has litigated hundreds of cases in Federal, California and other States’ Courts, and in arbitrations, administrative proceedings and mediations, including newsworthy and publicly reported cases and appeals.

Very respected in the legal community, Mr. Duffy has attained a peer review rating of “AV Preeminent*, signifying extraordinary legal ability and the highest standard of ethics.

A top honors graduate of Stanford University, and with a J.D. degree from the Yale Law School, Anthony C. Duffy has obtained significant victories and settlements for numerous clients, including a jury verdict exceeding $97 million.

In defending against business, securities and real estate lawsuits and other legal proceedings, he has saved clients millions of dollars in potential liabilities.

Mr. Duffy has lectured and appeared on television and radio discussing the litigation process and the manner of optimizing the opportunities for successful legal results.

As a distinguished and accomplished trial lawyer, Mr. Duffy knows how to obtain successful, cost-effective results in and out of court and related proceedings.

The Law Offices of Anthony C. Duffy recognize that securities litigation is often expensive and lengthy. The securities laws are complex and extensive.

Mr. Duffy counsels and advises the firm’s clients to assist them in understanding and realizing their objectives in avoiding or prevailing in securities cases.