Securities Arbitration and Litigation

Page Perry, LLC is an investor-focused firm. The flagship part of our practice involves representing investors both in arbitration and court proceedings. We are trial lawyers with over 150 years of combined experience. We have aggressively and successfully litigated cases on behalf of thousands of aggrieved investors throughout the United States.

Investor Rights/Securities Brokerage Firm Duties.

Page Perry, LLC’s commitment is aimed at “protecting investor rights” and correspondingly compelling securities brokerage firms and other sellers of securities to adhere to their duties and obligations. Page Perry believes that investor rights and securities brokerage firms’ duties are an essential cornerstone of our capital market system.

Securities Arbitration

Most disputes between investors and securities brokerage firms or investment advisors are resolved through the securities arbitration process. This is true because most account opening agreements between investors, on one hand, and securities brokerage firms or investment advisors, on the other hand, provide that any dispute will be resolved in an arbitration forum (typically in the forum sponsored by the Financial Industry Regulatory Authority). Many investors do not understand that they have waived their right to sue in court when they sign such agreements but the courts have repeatedly upheld the enforceability of such arbitration agreements.

Securities Litigation

In those circumstances where there is not a pre-dispute arbitration agreement, securities cases are typically brought in court. Such cases are generally brought against an issuer of securities or other seller of securities who has misrepresented important facts and/or engaged in fraudulent or deceptive conduct. Of course, in such situations, the investor has all of the benefit and burden of court proceedings.

Products and Types of Conduct Typically at Issue in Securities Actions

While no two cases are alike, certain types of securities abuses occur repeatedly. Claims filed by this Firm on behalf of aggrieved investors typically concern one or more of the securities abuses and investments described below. (Click a heading for more detailed information).

Product Problems

Other abuses