Litigation

We understand that every case is unique, and we approach each matter comprehensively to develop a tailored strategy to meet the objectives of each client. From disputes in sales practices, breaches of fiduciary duties, or mergers and acquisitions, to U5 Expungements and regulatory enforcement actions, our Corporate and Securities litigation team is ready to help you through it all.

Services

We advocate for our clients against regulatory agencies such as the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) in matters of investigations, or enforcement actions taken against them, and more.

Our attorneys have the depth of insight that comes from representing a wide range of clients from both a plaintiff and defendant perspective. In addition to public and private companies, our clients frequently include:

• Officers, directors, and trustees
• Accountants and accounting firms
• Private equity firms and hedge funds
• Individual investors and shareholders
• Financial institutions - BrokerDealers, RIA, IAC

Our corporate and securities litigation lawyers handle a wide variety of matters for clients, including:

We have significant experience handling and trying complex disputes throughout the U.S. In addition, we handle internal investigations and regulatory proceedings.

Our attorneys provide representation in a range of matters, including:

Suitability Claims
JLG advocates for Investment Advisers who have been accused of making unsuitable investment recommendations to their clients that led to financial loss. When Investment advisers are hit with suitability claims, our attorneys work with them to prove their recommendations were made in good faith.

Fiduciary litigation
When our clients are alleged to have failed in their fiduciary duty, our experienced attorneys advocate for them, offering legal counsel and litigation to ensure that they are aptly represented in a Fiduciary litigation.

Financial and accounting disputes
We represent clients in matters of commercial disputes that arise from accounting or financial issues. Our attorneys are well-versed and experienced in this highly technical area, providing experienced and knowledgeable counsel and representation to resolve the dispute in the best interest of our clients.

Corporate control litigation
We work with clients in matters involving disputes over corporate control either in a Mergers & Acquisition deal, in the event that a shareholder pushes for dissolution, and more. If you are faced with a corporate control lawsuit, it is advisable to retain experienced counsel right away.

SEC Section 10b and Rule 10b-5 actions
Our legal team helps clients facing allegations of fraud or insider trading to navigate the rules and regulations and provide thorough investigation in order to prove our clients’ good faith and lack of deception, advocating for them against such claims.

Transactional litigation
The JLG legal team works with clients involved in disagreements such as shareholder disputes or breach of contract. We provide representation with the goal of resolving transactional disputes in the best interest of our client.

Class actions
When our clients are faced with a corporate or securities class action brought by shareholders or investors, our litigation attorneys work diligently to disprove the allegations and guide our clients through the legal process, advocating for their best interests from start to finish.

Securities Arbitration 
Our attorneys are skilled in arbitration when disputes between advisers and investors arise. Securities arbitration can offer a more cost-effective and low-conflict alternative to highly contested litigation. In addition, we represent clients in arbitration against regulatory bodies such as the SEC and FINRA when that option is available, pushing for fair resolutions.

Form U4/U5 Expungement Claims
Many investment advisors, firms, and others in the advisory space will, at some point in their careers, have to deal with Form U5 and the impact it may have on an advisor’s or firm’s reputation in the industry. Jacko Law Group litigation attorneys represent both individuals and firms in litigation and work tirelessly to rectify any inaccuracies and protect the client’s professional reputation.

SEC Enforcement
Our experienced attorneys provide clients faced with an SEC investigation or enforcement action with the skills to navigate such a stressful process. We offer strategic counsel and representation committed to getting the best outcome possible.

FINRA Enforcement
Jacko Law Group offers clients representation against FINRA investigations or enforcement actions such as fines, suspensions, or other disciplinary actions. Having a skilled and experienced litigation attorney on your side during enforcement proceedings is crucial to ensuring your rights and business are protected.

Shareholder and Partner Disputes
When there is a dispute among key members of a business, the stability of the business is threatened. Resolving such disputes is key to the business’ continued success and may involve negotiations or litigation. Our experienced Securities litigation lawyers represent the best interests of our clients involved in such a dispute and ensure the resolution is favorable to the client.

Shareholder Derivative Suits
Our attorneys successfully represent shareholders when corporate officers breach their fiduciary duty, helping them seek damages and revitalize corporate governance, setting the business back on the right path to success.

If you are facing an investigation or enforcement action by the SEC, FINRA, or state, or are in a financial dispute, our highly experienced and dedicated Corporate and Securities litigation attorneys are here to help.