Securities


Leader & Berkon is well versed at handling securities matters whether in court or in NASD arbitrations.  We have obtained excellent results for clients such as Morgan Stanley in disputes concerning investment partnerships, complex trading disputes, customer arbitrations, and arbitrations in connection with the Electronic Communications Networks (ECNs) used for trading.

We have successfully represented defendants, including officers and directors, in major securities litigations such as the Crazy Eddy Securities Litigation and In Re IPO Securities Litigation.  We also have experience representing clients before the Securities and Exchange Commission, the NASD, and other regulatory agencies.  Some of our recent experiences and successes include:

·                    We won a complete defense victory for Morgan Stanley in an NASD arbitration brought by a pension plan claiming its assets had been unsuitably concentrated in technology stocks.  We were able to convince the Panel that it was actually the pension plan’s trustees that had steered the assets toward riskier investments.

·                    We obtained a multi-million dollar settlement in a stock option dispute.

·                    Swaps litigation and litigation relating to complex options trading.

·                    NASD arbitrations of retail customer complaints, including a recent complete defense award, including expungement, in a case involving the suitability of large Put transactions.

·                    Multiple arbitrations concerning SuperMontage trading fees.

·                    Representation of private equity funds in a variety of disputes in connection with their investments.

Primary Contact:

Glen Silverstein
 (212) 486-2400