ay Quinney & Nebeker has one of the largest and most experienced securities litigation sections in Utah with over 50 years of combined experience handling securities disputes. We have the resources to handle disputes of virtually any size and the members of our group have recently represented clients who obtained multi-million dollar settlements or awards. In some cases we have partnered with other law firms who do not have the resources or experience to handle these cases.
Members of our Securities Litigation Group have handled a wide variety of securities-related litigation cases including:

• Handling securities arbitration cases involving stock brokers, brokerage firms and registered investment advisors. These cases are typically filed with FINRA's dispute resolution forum and involve claims of fraud, failure to supervise, unsuitability, unauthorized trading, churning, selling away and other related claims;
  
  
• Representation of companies and individuals in Securities Exchange Commission investigations and enforcement matters;
  
  
• Handling 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 are interested in fraud issues as they relate to Utah residents please visit our blog about securities fraud in Utah.
  
  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