ay Quinney & Nebeker has one of the largest and most experienced securities litigation sections in Utah. Members of our Securities Litigation Group have handled a wide variety of securities-related litigation matters including:

• Representation of companies and individuals in Securities Exchange Commission investigations and enforcement matters;
  
  
• Defending broker-dealers and investment advisers in civil litigation and arbitration matters, including claims of fraud, unsuitability, unauthorized trading, churning, failure to execute, sales practice violations, control person liability, "selling away" and other related claims;
  
  
• Handling of employment-related securities cases for broker-dealers and investment advisers in arbitration and civil proceedings, including claims for breach of non-compete agreements and misappropriation of trade secrets or confidential information;
  
  
• Representation of broker-dealers and investment advisers in regulatory investigations, licensing disputes and administrative actions by both state and federal regulatory bodies, including the National Association of Securities Dealers, the New York Stock Exchange, the Securities Exchange Commission, the Commodities Futures Trading Commission, and the Securities Division of the State of Utah;
  
  
• Representation of clients involved in complex securities cases and shareholder disputes, including derivative actions;
  
  
• Defense of publicly-held companies in securities class actions; and
  
  
• Handling securities-related RICO and antitrust litigation matters;
  
  
  If you wish to speak with an attorney about your needs and questions in any of these areas, please contact the chair of our section:
  
  

  Mark W. Pugsley

  801-323-3380

  mpugsley@rqn.com