Securities Litigation

The firm has extensive experience in representing clients involved in securities litigation. Its attorneys handle a variety of matters, including those involving the following:

  • Broker-Dealer Arbitrations: KO represents customers and broker-dealers in connection with arbitrations before the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), American Arbitration Association (AAA), National Futures Association (NFA), and state and federal courts across the country.
  • Privately Held Stockholder Actions: KO handles fraud actions on behalf of purchasers and sellers of stocks, bonds, options, and other securities, representing clients who have suffered losses as a result of misleading statements relating to the financial condition or business operations of the issuer.
  • Securities Litigation Class Actions: KO has broad experience representing plaintiffs and defendants in national securities fraud class actions against companies and their principals who are accused of having defrauded investors through the use of false or misleading public statements.
  • Broker Employment Actions: KO represents brokers in cases involving employment and defamation issues.
  • White Collar Securities Defense: KO defends individuals being prosecuted pursuant to federal and state criminal laws governing business conduct, including foreign corrupt business practices, antitrust, RICO violations, insider trading and other securities violations, mail and wire fraud, and other white-collar criminal crimes.