• Skip to primary navigation
  • Skip to content
  • Skip to primary sidebar
Bell Nunnally & Martin LLP

Broker/Dealer and Securities

From investor complaints and FINRA enforcement proceedings to arbitration concerning the underwriting of municipal bonds, Bell Nunnally helps those operating in the broker/dealer and securities markets navigate an increasingly complex regulatory environment.  

When broker/dealer firms and various investment vehicles find themselves facing investor and counter-party claims, Bell Nunnally has the depth of experience and industry expertise to deliver successful outcomes for our clients. Because we understand that registered representatives and their brokerage firms aren’t always aligned when claims are brought, our team also represents individual investment representatives and financial advisors.

Our work preserving the rights of individual and corporate investors includes transactional and litigation matters in state and federal courts, as well as high stakes American Arbitration Association (AAA) and Financial Industry Regulatory Authority (FINRA) arbitrations across the country. The team regularly prosecutes and defends against various types of investor complaints in FINRA arbitration proceedings, including allegations of misrepresentation, suitability, churning and selling away. We have represented registered investment advisors (RIAs) facing enforcement proceedings before FINRA and the Securities and Exchange Commission (SEC), regularly obtaining the dismissal of such enforcement actions or significant reductions in the penalties sought. We also have defended both hedge funds and individual representatives against tortious interference claims and breach of fiduciary duty and fraud claims.

Who we represent

  • National broker/dealers
  • Individual investors
  • Banks
  • Registered Investment Advisors
  • Hedge funds
  • Companies offering securities in the oil and gas industry
  • Individual consultants
  • Telecommunications providers

Representative Experience

Our attorneys have represented broker/dealer and securities industry clients across a range of business, regulatory and litigation matters:

  • Represented a national broker/dealer in several FINRA arbitration proceedings prosecuting breach of contract claims based on the representative’s failure to repay advances and forgivable loans, including defending the representative’s counterclaims of fraudulent inducement.
  • Defended allegations of securities fraud, unsuitability, breach of fiduciary duty and breach of contract with regard to an apparent Ponzi scheme.
  • Represented an individual investor in a FINRA claim against a major broker/dealer arising out of the representative’s failure to develop and execute a proper investment plan and the broker/dealer’s improper “freezing” of the investor’s account.
  • Represented an individual investor in a FINRA claim against multiple national broker/dealers involving their failure to properly supervise their registered representative who engaged in theft through a Ponzi-scheme in their client accounts.
  • Represented a bank in a FINRA injunctive proceeding involving theft of trade secrets and breach of noncompete covenants to protect a multimillion-dollar book of business that two representatives tried to move to a direct competitor of the bank.
  • Represented a broker/dealer in a federal court appeal seeking to vacate a FINRA arbitration award.
  • Represented a registered representative in a FINRA arbitration prosecuting claims against a national broker/dealer and the representative’s former partner for breach of employment agreement and conspiracy to tortiously interfere with business relationships.
  • Defended oil and gas exploration companies in civil and administrative proceedings against allegations of the sale of unregistered securities, the sale of securities by unregistered agents and securities fraud.
  • Represented an individual consultant against a multinational corporation based on the company’s breach of the consulting agreement.
  • Defended a major telecommunications provider against shareholder derivative litigation alleging corporate waste based on executive compensation agreements.

Primary Sidebar

Related Attorneys

Practices

  • Aviation
  • Bankruptcy and Financial Restructuring
  • Commercial Finance
  • Corporate and Securities
  • Entertainment, Advertising and Media
  • Litigation
  • Mergers and Acquisitions
  • Real Estate Law
  • Tax
  • White Collar Criminal and Regulatory Defense

Industries

  • Business Aviation
  • Energy and Natural Resources
  • Financial Services

News/Events

  • News
    2022 Annual Report
    February 16, 2023
    less than a minute
View All
Stay in the know...
Don’t miss anything — Subscribe to our email list!
2323 Ross Avenue, Suite 1900, Dallas, Texas 75201 | 214.740.1400
© 2023 Bell Nunnally & Martin LLP All Rights Reserved
  • Sitemap
  • Disclaimer
  • Privacy Policy
  • Client Pay
legalink logo Site by
We use cookies on our website to give you the most relevant experience by remembering your preferences and repeat visits. By clicking “Accept All”, you consent to the use of ALL the cookies. However, you may visit "Cookie Settings" to provide a controlled consent.
Cookie SettingsAccept All
Manage consent

Privacy Overview

This website uses cookies to improve your experience while you navigate through the website. Out of these, the cookies that are categorized as necessary are stored on your browser as they are essential for the working of basic functionalities of the website. We also use third-party cookies that help us analyze and understand how you use this website. These cookies will be stored in your browser only with your consent. You also have the option to opt-out of these cookies. But opting out of some of these cookies may affect your browsing experience.
Necessary
Always Enabled
Necessary cookies are absolutely essential for the website to function properly. These cookies ensure basic functionalities and security features of the website, anonymously.
CookieDurationDescription
cookielawinfo-checkbox-analytics11 monthsThis cookie is set by GDPR Cookie Consent plugin. The cookie is used to store the user consent for the cookies in the category "Analytics".
cookielawinfo-checkbox-functional11 monthsThe cookie is set by GDPR cookie consent to record the user consent for the cookies in the category "Functional".
cookielawinfo-checkbox-necessary11 monthsThis cookie is set by GDPR Cookie Consent plugin. The cookies is used to store the user consent for the cookies in the category "Necessary".
cookielawinfo-checkbox-others11 monthsThis cookie is set by GDPR Cookie Consent plugin. The cookie is used to store the user consent for the cookies in the category "Other.
cookielawinfo-checkbox-performance11 monthsThis cookie is set by GDPR Cookie Consent plugin. The cookie is used to store the user consent for the cookies in the category "Performance".
viewed_cookie_policy11 monthsThe cookie is set by the GDPR Cookie Consent plugin and is used to store whether or not user has consented to the use of cookies. It does not store any personal data.
Functional
Functional cookies help to perform certain functionalities like sharing the content of the website on social media platforms, collect feedbacks, and other third-party features.
Performance
Performance cookies are used to understand and analyze the key performance indexes of the website which helps in delivering a better user experience for the visitors.
Analytics
Analytical cookies are used to understand how visitors interact with the website. These cookies help provide information on metrics the number of visitors, bounce rate, traffic source, etc.
Advertisement
Advertisement cookies are used to provide visitors with relevant ads and marketing campaigns. These cookies track visitors across websites and collect information to provide customized ads.
Others
Other uncategorized cookies are those that are being analyzed and have not been classified into a category as yet.
SAVE & ACCEPT
  • People
  • Practices
  • Industries
  • News/Events
  • Contact Us
  • About Us
  • Clients
  • Careers