SECURITIES LITIGATION

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Securities litigation is a highly specialized area of practice.  The securities laws are complex, and securities cases typically involve high stakes and sensitive matters.  Securities claims present the risk of substantial damage awards as well as other serious risks and exposure.  Jeff Diamant, P.C. has a long history of successfully defending clients in securities actions and shareholder derivative litigation.  We have successfully defended large and small public and private companies, directors and officers, and many others in a wide variety of securities matters.  

Some of our securities experience includes:

  • Earnings understatement / overstatement
  • Stock options issues
  • Transactions in securities or stock sale
  • Representations and projections concerning the company or the investment
  • Mergers, acquisitions and other significant decisions by management
  • Broker-dealer violations
  • Trading by insiders or broker-dealers

We have successfully defended and prosecuted claims under all of the applicable federal securities statutes, and many of the blue sky and state law statutes, including:

  • Sections 11, 12 and 15 of the Securities Act of 1933
  • Sections 10(b), 18, 20 and 20A of the Securities Exchange Act of 1934
  • SEC Rule 10b-5
  • Texas Blue Sky Laws
  • Texas Securities Regulations

Equally as important, our actual, real-life experience in building multiple businesses, running and managing multiple businesses, and soliciting investment equity for multiple businesses makes Jeff Diamant, P.C. particularly suited for your securities case.