Knowledge library
Securities & Investment Disputes
Private placements, advisors and brokers, syndications, Ponzi schemes and investor claims under the Texas Securities Act and federal law.
24 guides on securities & investment disputes, page 2 of 3Showing 10 to 18
Securities & Investment Disputes
Investment Adviser vs. Broker: Different Duties, Different Claims
An investment adviser is a fiduciary paid by fee; a broker is paid by commission and owes a best-interest duty per recommendation. The label decides the claim.
Securities & Investment Disputes
Misstatements in an Offering Memorandum: Investor Remedies
A material misstatement in a private placement memorandum gives the buyer rescission under the Texas Securities Act without proving intent, plus Rule 10b-5 if the seller knew.
Securities & Investment Disputes
My Company Is Being Sued by an Investor. Defense Strategy
First week: preserve documents, notify the D&O carrier, map the claims to the statutes. Then test forum, deadlines and the seller's statutory defenses before answering.
Securities & Investment Disputes
My Company Received an SEC Inquiry. First Steps
Preserve every document, route all contact through counsel, learn whether the request is voluntary or a subpoena, and decide on cooperation deliberately.
Securities & Investment Disputes
Named in a Securities Class Action: What Happens Next
A federal securities class action runs on the PSLRA timetable: lead plaintiff, consolidated complaint, motion to dismiss with discovery stayed, then certification.
Securities & Investment Disputes
Oil and Gas Investment Disputes in Texas
Texas treats interests in oil and gas leases sold to investors as securities. A promoter who misdescribed the wells or sold without registration faces rescission.
Securities & Investment Disputes
Real Estate Syndication Disputes: Sponsors and Passive Investors
Syndication interests are securities, so sponsors face the Texas Securities Act for what they said in the raise, plus fiduciary and contract duties for how they ran the deal.
Securities & Investment Disputes
Recovering Losses From a Ponzi Scheme: Receivers, Clawbacks and Claims
Ponzi losses come back three ways: a receiver or trustee distributes what is left, clawbacks recover payouts from net winners, and victims sue those who sold or aided the scheme.
Securities & Investment Disputes
Selling Away: When a Broker Sells Investments the Firm Did Not Approve
A brokerage firm can be liable for private deals its broker sold on the side when it failed to supervise or had reason to know. FINRA Rule 3280 sets the broker's duties.