Securities Litigation

hands of three people, signing documentsEver changing securities laws and regulations make it very difficult to fully understand complete compliance.  Because of this, cases involving financial fraud and accounting irregularities are on the rise.  They are difficult to spot and time consuming to investigate.  HSNO has a team of forensic accountants who investigate, in depth, any alleged actions of financial fraud and have expert experience presenting their findings in court.  We serve as expert witnesses for companies who have gone to court to recover lost assets due to regulatory issues, non-compliance, and securities law violations.

If securities law violations are suspected within your company, HSNO utilizes many different proprietary and proven techniques to investigate and determine the economic impact of all actions taken to commit the fraud.  We investigate and analyze all documents and electronic data to uncover when and how any fraud was committed within your company.

We handle many different types of securities fraud cases including:

  • Any claim against an underwriter, issuer, or accounting firm that involves the sale or purchase of securities in respect to prospectuses, private offering, and registration statements
  • Customer claims against investment advisors when a violation of securities laws, unsuitable investments, unauthorized trading, or other misconduct is suspected or alleged
  • Claims against senior management and employees in regards to their conduct and the way it affects the shareholder
  • Professional negligence claims involving accounting firms and legal firms
  • Claims against registered representatives and broker-dealers by the self-regulatory organizations of the securities industry (CBOE, NASD, NYSE) when disciplinary action is proposed for an alleged violation of the rules
  • Claims against a financial institution for violating the consumer protection agreement or other laws governed by the institution’s banking practices.
  • Any claim involving an alleged violation of any state or federal securities law, including violations made under the RICO (Racketeering Influenced Corrupt Organizations) Act.

Any securities fraud that is suspected in your company will be expertly investigated and handled by our professional forensic accountants at HSNO.