“After a major accident that happened to my family and I, we had the pleasure of working with Lance Livingston. He kept us informed, answered us quickly, and most of all, was patient with my million questions.”

— Dakota M.


Securities litigation involves some of the most complex areas of commercial litigation around. The stakes are typically high and can involve significant financial loss and reputation damage — and may even lead to criminal charges.

The securities litigation team at DLL Law has the experience necessary to represent small and large companies, both public and private.

Types of Securities Disputes

Over the years, we have negotiated and tried cases in many different venues, from state and federal courts to international tribunals, and are ready to represent you in any of the following typical securities matters:

Securities Fraud

Securities fraud occurs when a party intentionally misrepresents the facts surrounding the purchase and/or sale of securities.

Conflict-of-Interest Issues

Conflicts of interest in the trading of securities can lead to significant losses. They often occur when one party decides to play more than one role — for example, a securities firm engaging in investment banking and stock brokerage and analysis. Analysts may be tempted to give higher or lower ratings for securities in a way that favors the firm.

Inaccurate Prospectus Disclosures

A prospectus contains important information relating to a security that is offered for sale to the public. Sometimes, however, the information contained in a prospectus may be inaccurate or misrepresented — which, in turn, may be grounds for litigation if a party incurs losses due to the false information.

Insider Trading

Insider trading is illegal and refers to the trading of securities using knowledge or information that is not available to the public. Brokers, analysts, investment bankers, and company employees are all parties that may have and unlawfully use this type of information.

Market Manipulation

Market manipulation is an ongoing threat in the securities industry.

It occurs when a party, such as a company, broker or individual investor, engages in an activity that creates a false impression of the state of the market. Manipulation may also involve falsifying details about a security, the trading movement of that security or some other piece of information used by investors to make investment decisions.

Risky Trading Activities

All investments carry some sort of risk. Brokers must make sure that their clients understand the level and nature of the risks involved and only take actions approved by clients. Unfortunately, some brokers find themselves tempted by high rewards and take unreasonably high risks to obtain them, sometimes without a client’s consent.

With our years of litigation experience, we can protect your business and provide you with effective solutions for unexpected securities problems you may be facing. 


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