1934 Act Litigation | Breach of Fiduciary Duty | Breach of Contract | Churning | Non-Compete | Failure to Supervise | Fraud | Unauthorized Trading | Unsuitability
Duffy & Sweeney’s securities law attorneys are known for providing successful representation for clients in complex securities matters before courts and arbitration panels.
Our securities litigators have over 30 years’ combined experience in securities-related litigation including securities class actions, derivative lawsuits, NASD investigations, enforcement actions and customer litigation. Our attorneys represent financial service firms, their officers, advisors, brokers and employees as well as high-net-worth individuals with viable claims of investor fraud or mismanagement. Our securities law team is well-versed in all manners of investment products and industry-specific concerns, including fiduciary and trust arrangements, supervision cases and allegations of “selling away.”
Our office is based in the heart of the financial district in Providence, Rhode Island. Contact us at 401.455.0700.