Securities
Kubasiak, Fylstra, Thorpe & Rotunno, P.C. maintains a strong concentration in securities litigation. Members of the firm try cases on behalf of large- and medium-sized securities firms before federal courts and industry arbitration panels throughout the United States. The firm has successfully prosecuted and defended cases involving claims of fraudulent misrepresentations, insider trading, churning, inappropriate investment vehicles and violations of industry rules and regulations. The firm also represents both securities firms and individual brokers in SEC, NASD and NYSE enforcement actions. In addition, the firm has experience with disputes arising out of the recruitment and hiring of brokers. The firm's broker recruitment cases often involve alleged violations of brokers' restrictive covenants, misappropriation of trade secrets and unfair competition. The firm represents both plaintiffs and defendants in these cases. One of the firm's securities litigators frequently serves as an arbitrator for the NASD.
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