Our Securities & Investment practice has been very balanced, representing both plaintiffs and defendants, which can benefit you as we reflect on your particular situation.
Dan Taylor has represented customer, broker dealers, and registered representatives in a myriad of legal and business issues. We have experience prosecuting and defending claims involving discretionary and non discretionary accounts and suitability issues involving stocks, bonds, options and other investment vehicles. Dan has represented individual investors in arbitration proceedings under the rules of the major securities exchanges.
Dan has also represented individuals charged by the Securities Exchange Commission with insider trading of securities of publicly traded companies as well as defended underwriters in SEC Rule 10(b)-5 class actions and related SEC Rules.