We regularly represent investment advisers, investors, service providers, directors, liquidators, receivers and business owners in a wide range of disputes and regulatory proceedings. What sets us apart from our competition is our deep understanding of our practice areas and our willingness to handle cases on a contingency basis or alternative fee structure. We believe that we can best serve our clients by partnering with them through the use of a creative fee structure and then intensely focus on achieving an outstanding result.
Key areas of litigation experience
Securities & Shareholder Litigation
We defend corporations, investment firms, and individuals in securities fraud, shareholder activism disputes, and SEC enforcement cases. We also assist in navigating Regulatory Compliance for businesses facing enforcement actions.
Our attorneys provide strategic representation in financial services litigation, defending clients against regulatory actions by the SEC, FINRA, and CFTC. We also advise on Blockchain Technology & Digital Assets litigation as the financial industry evolves.
Private Equity & Investment Disputes
We represent fund managers, investors, and firms in private equity disputes, investment mismanagement claims, and breach of fiduciary duty cases. Legal conflicts surrounding Commercial Leasing & Retail and fund structures are common in this area.
Why Choose Sadis & Goldberg for Litigation?
Decades of experience handling financial services disputes.
Proven success in FINRA arbitration and SEC investigations.
Representation for hedge funds, private equity firms, and investors.
Obtained a $57M appraisal verdict for a fund client in Delaware.
Recovered $26M for a fund of funds client that was defrauded by a hedge fund manager.
Recovered $14.5M for a minority LLC member who was oppressed by the majority member of the LLC in connection with a cannabis investment.
Recovered $10M for shareholders in a quasi-appraisal proceeding in Delaware.
Obtained a $2.2M FINRA arbitration award against broker for failing to properly price a derivative security.
Obtained a complete defense verdict for majority shareholders in a derivative case brought by minority shareholder.
Represented Offshore Directors in litigation arising from investments lost in Madoff Ponzi scheme.
Represented Cayman liquidator in connection with the recovery of assets in Wimbledon Fraud.
Represented two Managing Directors of a large investment bank in SEC investigation into alleged insider trading.
Represented president of broker-dealer in SEC investigation into insider trading and negotiated favorable settlement involving less than $100,000 of disgorgement and penalties.
Represented consultant to Chinese Micro-Cap companies in SEC litigation alleging market manipulation and unregistered securities sales; negotiated settlement significantly lower than disgorgement and penalties initially demanded by SEC.
Persuaded FINRA not to bring charges against broker-dealer for excessive service charges, after investigation was referred to FINRA Enforcement.
Represented investment adviser in ongoing SEC litigation alleging that adviser misrepresented liquidity, valuation and use of cross-trading.
Successfully represented broker against FINRA arbitration churning claims, obtaining decision recommending expungement of claims from FINRA records and favorable settlement for less than 6% of claimed damages.
Obtained SEC investigatory closure letters with no enforcement action on behalf of numerous clients.
Litigated and settled numerous disputes between hedge fund investors and advisers.
SECURITIES AND FINANCIAL SERVICES LITIGATION
Investment Adviser/Investor Disputes
Hedge Fund and Private Equity Fund Fraud
Representation of Directors, Liquidators, and Receivers
Compensation Disputes
Non-Compete Litigation
BUSINESS DIVORCE AND PARTNERSHIP DISPUTES
Disputes between LLC Members and Partners
Buy-Out Rights
Dissolution
Oppression by Majority Member/Partner
Derivative Claims
CORPORATE GOVERNANCE AND APPRAISAL RIGHTS
Corporate Governance
Appraisal Rights
Shareholder Activism
Fiduciary Duty Disputes
Counsel on Delaware and NY Law
SEC ENFORCEMENT AND INVESTIGATIONS
Defense of SEC and FINRA Enforcement Proceedings
Internal Investigations
Mock Audits
CUSTOMER SECURITIES ARBITRATION
Suitability
Unauthorized Trading
Churning
Fraud/Misrepresentation/Omission
Failure to Supervise
REAL ESTATE LITIGATION
Partnership Disputes
Brokerage Fee Disputes
Foreclosure
Title and Enforcement Disputes
CROSS BORDER INSOLVENCY
Representation of Liquidators and Receivers
Representation of Directors
Clawback and Fraudulent Conveyance Actions
Chapter 15 Proceedings
FAQs ABOUT FINANCIAL LITIGATION
Q: What types of financial disputes does your firm handle?
A: We litigate securities fraud cases, investor disputes, regulatory enforcement actions, and private equity conflicts.
Q: How can Sadis & Goldberg assist with FINRA arbitration?
A: Our attorneys have extensive experience defending broker-dealers, investment advisors, and firms in FINRA disputes and arbitration proceedings.
Q: What legal strategies do you use in financial services litigation?
A: We employ strategic negotiation, aggressive defense tactics, and regulatory compliance insights to protect clients’ interests in financial litigation cases.
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