Securities Fraud

Rosenfeld & Kaplan has extensive experience defending brokerage and other financial firms, as well as publically-traded companies, against accusations of financial mismanagement or securities fraud. We recently represented Value Line, Inc., a large publicly-held financial services corporation, in a sophisticated shareholder derivative action in the New York State Supreme Court, and have defended public and private entities in similar actions. We also have long history of representing individual brokers and traders charged with violations of securities laws and regulations both in the investigative stage conducted by the U.S. Securities and Exchange Commission ("SEC") as well as self regulatory authorities and in litigations brought by the SEC and other authorities in federal and state courts, as well as handling matters on behalf of both claimants and respondents in FINRA proceedings.

We have a broad range of experiencing representing clients involved in shareholder disputes. Our results in this area include the successful prosecution of shareholder dispute involving parties in the plumbing industry that resulted in a large multi-million dollar arbitration award in favor of our client after ten days of hearings.