Investor and Customer
Arbitration and Litigation

Evans & Kob represents select investors and customers in various securities arbitration and litigation disputes against financial firms dealing with securities regulation, fraud, disputes and other matters related to the stock market, alternative investments, hedge funds and the securities industry. Clientele include high net worth individuals, non-profits and other institutions in claims against brokerage firms, banks, hedge funds, wirehouses, investment advisors, financial planners, money managers, and other financial professionals.

icp1Our dedicated group of lawyers draw upon their diverse backgrounds, including executive and compliance officers of FINRA member firms, general counsel to issuers and a former SEC enforcement attorney, to protect our clients’ interests in a diverse range of matters, in civil litigation as well as before federal and state regulators, in virtually every region in the country before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, Inc. (FINRA), and state and federal trial and appellate courts. . Our experienced team is devoted to assisting institutional and individual investors nationwide to recover losses caused by the inappropriate actions of investment advisors and their firms.

Common Representations include claims regarding
  • Risky Investments and Suitability
  • Guarantees, Theft, Lying and Deceit
  • Failure to Supervise, Complaints to Supervisor
  • Excessive Trading or Churning, Fee Disputes
  • Misrepresentation and Fraud
  • Unauthorized Trading/Transactions, Sold to Soon
  • Mutual Fund Switching
  • Over-Concentration
  • Mutual Fund Switching
  • Hedging Activities
  • Limited Partnerships, Hedge Funds, Oil and Gas
  • Margin issues and problems
  • Obligation of Disclosure, Duty of Loyalty, Fair Dealing, Duty of Good Faith, Fiduciary
  • Duty
  • Misappropriation of Trade Secrets or Confidential Information
  • Ineptitude, Malpractice, Negligence or Failure in Due Diligence
  • Selling Away
  • Ponzi Schemes
  • Collateral Mortgage Obligations (CMO) and Mortgage-Backed Securities (MBS)
  • Universal Lease Programs
  • Charles Schwab YieldPlus
  • Auction rate securities

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If you wish to speak with an attorney about your needs and questions in any of these areas, please contact us at info@eklawpc.com.

Interested in our services? We would appreciate hearing from you!