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Monmouth County Securities Law Attorneys

Securities Litigation • SEC/FINRA (Formerly NASD) FINRA Arbitrations and Regulatory Actions

The Freehold, New Jersey, law firm of Sonnenblick, Parker & Selvers, P.C., is known throughout Monmouth County and New Jersey for its sophisticated knowledge and wide experience in all aspects of securities law. We represent corporations, individual investors, brokers, and brokerage firms in securities litigation, arbitration, mediation and transactions.

Jerome M. Selvers, is an AV-rated* attorney who has practiced for more than 40 years and served as a trial lawyer for the United States Securities and Exchange Commission (SEC), Division of Enforcement. Chad N. Cagan adds 19 years of practice in general litigation and securities law. Schedule your initial consultation with a veteran Freehold securities litigation lawyer at our firm.

Securities Account Mismanagement: Investor Representation

Sonnenblick, Parker & Selvers represents individual securities investors who suffered a significant financial loss. You may have a viable claim to recover market losses if your broker acted illegally with stocks, bonds, mutual funds or other investment products. We represent both claimants (the party filing the action) and respondents (the party defending the action) in cases involving:

  • Unsuitability — inappropriate investments contrary to stated risk tolerance and investment goals
  • Churning — excessive trading to generate commissions
  • Misrepresentation of risk, "guaranteed" returns
  • Breach of fiduciary duty — impropriety with client funds
  • Unauthorized transactions — broker conducting trades in non-discretionary account
  • Negligence — failure to conduct transactions and other forms of broker negligence
  • Fraud — investment fraud, stock fraud, and broker fraud
  • Failure to supervise/control person liability
  • Expungement of Form U-5
  • Promissory note proceedings

Our lawyers' in-depth knowledge and effective representation has resulted in substantial investor recoveries for clients. We resolve claims in litigation or through arbitration before the Financial Industry Regulatory Authority (FINRA).

Defending Brokers in Regulatory Actions

Sonnenblick, Parker & Selvers, P.C., protects the rights of individual brokers and brokerage houses being sued in Finra Arbitrations and Regulatory actions in defense against allegations for violations of state or federal securities law. We represent brokers in regulatory and enforcement proceedings initiated by the (1) SEC; (2) FINRA; and (3) New Jersey Bureau of Securities, to avoid:

  • Suspension, sanction or censure against the broker's professional license
  • Fines, penalties or punishment against the broker and/or the firm

Loss of Principal or Fixed Income

Has a loss in investment value caused a loss in income? We help elderly investors secure compensation for losses that resulted from unsuitable investments, broker negligence, fraud or misconduct.

You may have a claim against your broker in certain circumstances:

  • Did your broker fail to act in a reasonable manner? For example, if your broker did not follow your instructions or failed to act in a reasonable manner, you may have a claim for negligence.
  • Did your broker misrepresent the risks of your investments? Nondisclosure of risk, particularly with high-risk junk bonds, can lead to the loss of your savings and principal. We help clients who are victims of fraud and misrepresentation.
  • Did your securities broker choose an inappropriate investment for you? Brokers have a duty to research and investigate securities to determine if they are appropriate and match their clients' goals.
  • Did your broker churn your account? If your broker executed excessive transactions resulting in substantial commissions to the broker in violation of your investment objectives, you may have a claim for churning.

Contact Our Monmouth County Securities Law Attorneys

Sonnenblick, Parker & Selvers, P.C., is one of the premier securities litigation firms in Monmouth County and all of New Jersey. We are fully capable of handling complex litigation, mediation and arbitration of a wide variety of securities issues. We also pride ourselves on providing clients with personal attention at every stage in the process. Contact our Freehold law office to discuss your securities claim or regulatory defense issue.

*AV, BV and CV are registered certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the Bar and the Judiciary. Martindale-Hubbell Ratings fall into two categories - legal ability and general ethical standards.