Sims|Funk attorneys represent both plaintiffs and defendants in litigation brought under federal and state securities laws. These matters typically involve, among other things, mergers and acquisitions, breach of fiduciary duty claims, shareholder derivative actions, corporate governance litigation, insider trading and the like.
In the retail brokerage area, the firm has represented brokerage firms, registered representatives and public customers in litigation and arbitration in all aspects of securities law, including broker-customer cases, intra-industry disputes and employment claims. These cases have involved allegations regarding suitability, misrepresentation/fraud, unauthorized trading, failure to supervise, selling away, escheatment and other matters. We have also represented individuals and entities in connection with matters before FINRA, the Tennessee Securities Division, and various other state and federal agencies.