Through representation of financial institutions, broker-dealers, government entities, corporations, individual investors and others, members of Wolff Ardis, P.C. have gained substantial knowledge and experience in investigating, prosecuting and defending securities-related claims.
Lawyers of Wolff Ardis, P.C. defend and prosecute securities cases throughout Tennessee and other parts of the country. Our attorneys have a broad range of experience in a number of industries; this enhances our ability to understand the underlying security and therefore better advocate for clients. Securities fraud litigation involves complex matters, and opposing parties are generally represented by very sophisticated firms. The depth of the expertise of attorneys with Wolff Ardis, P.C. is extensive. This expertise can lead to a more efficient handling of your claim, because we know what works and what does not.
During their respective careers, members of Wolff Ardis, P.C. have prosecuted and defended claims arising under the anti-fraud provisions of the federal securities laws, the Uniform Securities Act and other state securities statutes, common law fraud, constructive fraud, the ultra vires doctrine, negligence, negligent misrepresentation, breach of trust and fiduciary duty, violation of industry rules and standards, violation of federal and state RICO statutes, and other legal theories. Consequently, lawyers of Wolff Ardis, P.C. are well-versed in “black letter” securities law, pleading and motion practice, discovery tactics, negotiation and settlement strategies, trial preparation and appellate advocacy.
Lawyers of Wolff Ardis, P.C. have not only successfully prosecuted litigation against a number of Wall Street firm who engaged in speculative trading with the State of West Virginia, but Wolff Ardis, P.C. lawyers have also defended investment banking firms in claims made against them by customers.
Apart from a knowledge of securities law and litigation strategy, an understanding of the characteristics of different securities and securities markets is essential to the success of any securities fraud claim or defense. Collectively, members of Wolff Ardis, P.C. have handled or assisted in matters involving such diverse instruments as treasury bills, notes and bonds, treasury strips, zero coupons, GNMAs, FNMAs, FHLMCs, stripped mortgaged-backed securities, corporate bonds, municipal bonds, industrial revenue bonds, money market funds, stocks, penny stocks, over-the-counter options, treasury futures, repurchase and reverse repurchase agreements, collateralized mortgage obligations (CMOs), tenant-in-common investments (TICs), and limited partnership interests. As a consequence of handling a variety of claims involving many different types of securities, members of Wolff Ardis, P.C. have acquired a working knowledge of the capital markets, the characteristics of complex securities, investment and hedging strategies, the internal operations of broker-dealers; and industry regulations which enables them to thoroughly analyze the merits of potential securities claims.
The lawyers of Wolff Ardis, P.C. understand clients’ need for intelligent, effective representation. The experience and abilities of the attorneys of Wolff Ardis, P.C. allow them to think outside of the box and find creative solutions to complex problems. As a result, Wolff Ardis, P.C. is uniquely suited to achieve efficient and successful resolutions in securities-related disputes.