Several of the leading Minnesota and Eighth Circuit cases dealing with securities law and regulation have been litigated by Moss & Barnett’s litigation attorneys. They have handled securities fraud claims – for defendants and plaintiffs, including class actions – as well as regulatory, broker dealer and registered representative arbitrations.
When complex securities laws and financial matters are involved, the Moss & Barnett securities litigators draw upon their collective experience and knowledge to get to the heart of the dispute and press for successful resolution.
[06/26] Horning v. SEC In a petition for review of an SEC order barring Petitioner from associating with a broker or dealer in a supervisory capacity based on his failure to adequately supervise two of his employees, the petition is denied, where the SEC's order was reasonable and supported by substantial evidence.
[06/24] Warfield v. Bestgen In an action by the receiver of a foundation found to have engaged in fraudulent investment sales to recover commissions paid to the foundation's salespersons, judgment for Plaintiff is affirmed, where the charitable gift annuities sold by Defendants were investment contracts under federal securities law.
