Securities Fraud

Harwood Law is committed to obtaining outstanding results for investors and investment professionals in:

  • FINRA arbitrations
  • Securities fraud lawsuits
  • Class action lawsuits
  • SEC and FINRA investigations and enforcement proceedings
  • Criminal investigations and prosecutions

The firm’s founder, Tony Harwood, has provided top-quality representation in securities fraud matters for:

  • Individual investors
  • Investment bankers, investment advisors and other finance professionals
  • Lawyers
  • Retirement funds, hedge funds and other investment funds
  • Investment banks
  • Public companies
Representative Matters
  • Recovered the investors’ entire investment in a settlement after defeating defendants’ motion for summary judgment in a federal securities fraud lawsuit involving investment in an oil and gas exploration company.
  • Achieved a settlement in a FINRA arbitration for an individual investor which was eight times larger than the initial offer that the brokerage firm made before the investor retained Harwood Law.
  • Prosecuted to verdict a class action securities fraud case in a six week jury trial seeking a multi-billion dollar recovery.
  • Defended a senior bank executive in a criminal investigation by the Manhattan District Attorney concerning allegations of fraud related to the bank’s transactions with a leading energy company.
  • Defended a lawyer in a joint investigation by the Department of Justice and the SEC into criminal and civil charges of securities fraud.
  • Defended a public company in a formal investigation before the Securities and Exchange Commission concerning allegations of improper revenue recognition.
  • Achieved the dismissal of all claims on a pretrial motion for an international law firm in multi-district, class action litigation alleging claims of securities fraud and malpractice arising out of the firm’s representation of the lead underwriter in a public offering.
  • Obtained the dismissal of all claims on a pretrial motion for an investment bank in multi-district litigation alleging claims of securities fraud arising out of a private offering of securitized assets.
  • Achieved a dismissal with prejudice of all claims on a pretrial motion for a public company in a class action litigation asserting securities fraud claims.
Request a Consultation

To request a consultation at the New York City office call (212) 867-6820 or complete this contact form.

Client Reviews
“Tony's advice to me was invaluable in recent job transitions. Under a compressed time line Tony provided expert advice. Drawing on his deep knowledge and experience in the field of employment law, he gave me guidelines for negotiation and the comfort required to move forward with the resulting agreements.” Mary Ann Cate
"Tony Harwood is extremely ethical and knowledgeable in the law. He took all the anxiety out of the process, helping a difficult matter be resolved smoothly and as amicably as possible." Stuart Baron
“Anthony Harwood has represented me in multiple cases over the years. Tony’s expert advice was invaluable and having him by my side gave me all the confidence I needed during negotiations. His attention to details and deep knowledge of the law helped me achieve the desired outcome and I am extremely happy to have had him on my team.” Tigran Antonyan