Investment Disputes

We have been involved for more than two decades in litigating a wide array of disputes related to various kinds of investments. We have tried a number of securities issues to juries, as well as dozens of FINRA/NASD arbitrations. Our success rate in these claims has been admirable, due in large part to our ability to work with financial experts and forensic accountants.

We have noted a significant increase in the amount of investment-related litigation in each downward cycle of the economy, and over the years that we have been involved in representing clients in these disputes we have observed a definite pattern among various kinds of disputes.

We have represented clients undergoing investigation by the Securities and Exchange Commission, and we have worked with criminal defense counsel in the representation of clients under indictment while engaged in securities litigation.

Types of clients:

Our clients include:

• Investors
• Registered representatives
• Broker Dealers
• Corporations
• Partners and partnerships

Types of disputes:

We have experience in:

FINRA (formerly NASD) arbitrations

• Rules of Fair Practice Disputes
• Suitability of investment disputes
  • Violations of the “know your customer” rule
• Churning (turnover ratio) disputes
• Unauthorized trading disputes
  • Forged authorization claims
    • “Selling away” claims
    • Subscription agreement disputes
• State and federal civil actions involving:
  • Investment fraud and Rule 10(b)(5) cases
  • Blue sky registration laws
  • Securities Act cases
  • Colorado, Wyoming and Utah Securities Act claims
  • Shareholder derivitive actions
  • Conflict of interest cases

From this list, it is easy to see why Godfrey | Johnson, P.C., is capable of handling virtually any securities claim or dispute in state or federal court, or arbitration before FINRA, SEC proceeding or private contractual arbitration of an investment dispute.

The key to success in litigation is to be realistic and careful in terms of how a "win" is defined under the circumstances of any given dispute. No two cases are exactly alike. Remember that no attorney or firm can guarantee success according to any arbitrary standard or in terms of a favorable result at trial. Whether or not to try a case or settle a case is a decision a client makes with the advise of an attorney, and no attorney can guarantee anything about the outcome of a civil case. Any case, tried to a jury or a court, might be resolved unfavorably. Trials are inherently unpredictable. Statements contained on this website regarding the ability of the professionals at Godfrey | Johnson, P.C., are based upon good faith perceptions of our abilities demonstrated over years of practice, and are not intended to imply that the attorneys have never lost a case or that we can assure that any particular case will be won at trial or on motions. The best way to evaluate any case is to communicate about it in depth with qualified legal counsel, providing all relevant information to the attorney. It is dangerous to withhold facts from an attorney, and can lead to the delivery of legal advise that is fundamentally flawed. No attorney can prevent this from happening, as attorneys all must rely to some extent upon the information that is provided to them by their clients. The best way to evaluate an attorney is by that attorney's track record, and ours is open for discussion in any specific field. Our abilities as described on this website are based upon experience in actual cases, which have been successful more often than not. ©2015 Godfrey | Johnson, P.C. All rights reserved.