Howard Z. Gopman & Associates, Ltd.

Attorneys and Counsellors at Law


Securities Litigation

Our firm’s Securities Litigation Practice has extensive experience handling all facets of contested securities matters. A major focus of our practice involves representing private companies and their officers and directors in class actions, individual suits by securities holders, derivative lawsuits, Securities and Exchange Commission investigations and investigations by state securities departments and regulatory authorities such as FINRA. We also represent underwriters, law firms, accountants and other professionals in misrepresentation and negligence actions relating to securities issuances and transactions. Our firm also represents brokerage firms and investment companies in civil and administrative actions regarding securities transactions.

In particular, our Securities Litigation Practice includes:

  1. Securities and Exchange Commission enforcement proceedings - representation of issuers, officers and directors and professionals in civil proceedings initiated by the SEC.
  2. Defense of actions for securities fraud and misrepresentation—class actions and individual suits against issuers, directors, officers, underwriters, brokers, accountants, attorneys, investment companies and investment advisors under federal and state securities laws.
  3. Broker-Dealer litigation—representation of registered broker-dealers and investment advisors in state and federal actions, arbitrations and proceedings before self-regulatory organizations.
  4. Arbitration and mediation—Howard Z. Gopman serves as an arbitrator and mediator for the NYSE, FINRA and the National Futures Association, in addition to representing clients in these forums.
Alternative Dispute Resolution