Securities Litigation / Enforcement Defense

The Jones & Keller Securities Litigation / Enforcement Defense team’s expertise and experience with both federal and state securities laws and regulations, regardless of the type of financial activity involved, is unsurpassed in the Rocky Mountain Region.

We represent plaintiffs and defendants in cases involving misrepresentations made in the offer, sale, or purchase of investment opportunities including FINRA arbitrations and civil litigation.  We also regularly represent public companies, broker-dealers, investment advisers, municipal funds, mutual funds, hedge funds, accounting firms, and their officers, directors and employees in defending civil actions and class actions arising from public and private securities offerings, mergers, acquisitions, periodic public reporting and investment advisory services.  In addition we represent the financial industry in the full spectrum of civil litigation matters that may arise in investigations and proceedings initiated by the SEC, FINRA, DOJ, the Colorado Securities Commissioner, and other state regulators and attorneys general. 

We work closely with Jones & Keller’s attorneys in related practice areas, such as Corporate and Securities, to counsel public companies and regulated entities on securities law and other regulatory issues.  Together, we help our clients design, implement, and assess compliance programs with the goal of limiting litigation risk and preventing violations of law and corporate policies before they occur.  Our collaborative approach and depth of experience have resulted in a proven record of success.