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Securities Litigation & Enforcement Defense

The Jones & Keller Securities Litigation and Enforcement Defense team’s breadth of expertise and experience with both federal and state securities laws and regulations is unsurpassed in the Rocky Mountain Region. Our thorough knowledge of the legal issues facing our clients enables us to develop and implement forward-thinking, cost-effective strategies against allegations lodged by often heavily resourced agencies, companies and individuals. Our representation is strategically tailored to address current legal matters and anticipate other collateral risks.

We regularly represent large and small private companies, investment brokers and advisers, municipal funds, mutual funds, hedge funds, and their officers, directors and employees in defending investigations and regulatory actions brought by the U.S. Securities and Exchange Commission and state Securities Commissioners. The superior results we achieve reflect an established track record counseling clients in all aspects of securities defense and dispute resolution.

We represent these same companies and individuals in the full spectrum of civil litigation matters that may arise in federal and state courts and in arbitration forums such as FINRA, JAMS, JAG, and AAA. This civil litigation often involves allegations of violations of federal and state securities laws as well as claims for breach of fiduciary duty, fraud, misrepresentation, and breach of contract.

We also represent investors in actions in federal and state courts and in arbitration arising from the violation of federal and state securities laws and common law claims.