Ray Quinney & Nebeker has one of the most experienced securities litigation and investment litigation practice groups in Utah. Our decades of experience give us a unique understanding into the nature of investment-related disputes in Utah, including Ponzi schemes, crypto-related investments, affinity fraud and securitized real estate projects. We have pursued and defended our clients’ investment related claims in Utah state and federal courts, private arbitration as well as through proceedings before the Financial Industry Regulatory Authority (FINRA).
Members of our Securities and Investment Litigation practice group have handled a wide variety of investment-related matters including:
- Representation of individual investors, registered investment advisors (RIA), independent advisor representatives (IAR), broker-dealers, registered representatives, investment funds, and public companies in a wide range of investment-related disputes;
- Representation of RIA’s, IAR’s, broker-dealers, and other industry members in regulatory investigations, licensing disputes and administrative actions by both state and federal regulatory bodies, including FINRA, the U.S. Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), and the Utah Division of Securities;
- Handling employment-related claims involving RIA’s, IAR’s, registered representatives and broker-dealers, including promissory note disputes, non-compete agreements and misappropriation of trade secrets or confidential information;
- Representation of individuals, officers, directors and institutional clients in complex securities and investment disputes including class-action litigation, derivative litigation, M&A litigation, and investigations and civil enforcement actions by the SEC, U.S. Department of Justice and state attorneys general;
- Securities-related RICO, FCPA and antitrust litigation matters; and
- State and federal whistleblower claims.
If you wish to speak with an attorney about your legal needs and questions in this area, please contact:
Maria Windham, Chair, Securities and Investment Litigation
801-323-3377 | moc.nqr@mahdniwm
