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 the contact form at the bottom of this page.