Securities Litigation

Causes of action filed in state or federal court involving financial products.

 
 

State and Federal Court

Most disputes involving financial professionals are usually resolved in arbitration via an arbitration agreement. Absent such an arbitration agreement, state court litigation is more common with financial professionals that are registered with the SEC and/or a state.

HLBS Law has a lot of experience handling claims in court, HLBS Law has successfully litigated and defended claims all the way up to the millions of dollars. While all cases are unique and depend on the facts, HLBS Law is confident that we can litigate most cases across the United States.

One of the advantages of court is that rules and evidence must be applied, unlike arbitration. This allows for claims to be properly dismissed pursuant to case law, such as the statute of limitations, this prevents old claims being filed.

Litigation in court can last anywhere from 4 to 24 months depending on the facts and circumstances of the matter. Here is a general list of what to expect in court:

  1. Demand Letter (Optional)

  2. Filing/Receiving of a Complaint

  3. Pre-Answer Motions to Dismiss

  4. Filing/Receiving of an Answer/Counterclaims/Affirmative Defenses to a complaint.

  5. Discovery

  6. Depositions

  7. Mediation (optional)

  8. Motions for Summary Judgment

  9. Trial

If you have been named in a complaint in court, contact HLBS Law today for a free consultation. Complaints filed in court are very serious and you are going to want excellent representation.