Business and Commercial

Securities

Thompson Coe attorneys have experience in defending and pursuing claims for securities fraud under federal and state law. Our attorneys have represented broker/dealer clients in connection with various aspects of their business and also have significant experience in handling disputes concerning advice given by and the conduct of registered representatives and investment advisors, including suitability, fraud, and failure to supervise claims. We also regularly represent clients in shareholder or partnership disputes, including derivative actions and claims of minority shareholder oppression. Thompson Coe attorneys have successfully resolved these kinds of disputes in both federal and state courts and also in FINRA (formerly NASD) arbitrations.