Commitment. Experience. Results.
Dedicated to strong advocacy for individuals and
businesses in the New York metropolitan area.
businesses in the New York metropolitan area.
Securities Fraud
Harwood Law is committed to obtaining outstanding results for investors and investment professionals in:
- FINRA arbitrations
- Securities fraud lawsuits
- Class action lawsuits
- SEC and FINRA investigations and enforcement proceedings
- Criminal investigations and prosecutions
The firm’s founder, Tony Harwood, has provided top-quality representation in securities fraud matters for:
- Individual investors
- Investment bankers, investment advisors and other finance professionals
- Lawyers
- Retirement funds, hedge funds and other investment funds
- Investment banks
- Public companies
Representative Matters
- Recovered the investors’ entire investment in a settlement after defeating defendants’ motion for summary judgment in a federal securities fraud lawsuit involving investment in an oil and gas exploration company.
- Achieved a settlement in a FINRA arbitration for an individual investor which was eight times larger than the initial offer that the brokerage firm made before the investor retained Harwood Law.
- Prosecuted to verdict a class action securities fraud case in a six week jury trial seeking a multi-billion dollar recovery.
- Defended a senior bank executive in a criminal investigation by the Manhattan District Attorney concerning allegations of fraud related to the bank’s transactions with a leading energy company.
- Defended a lawyer in a joint investigation by the Department of Justice and the SEC into criminal and civil charges of securities fraud.
- Defended a public company in a formal investigation before the Securities and Exchange Commission concerning allegations of improper revenue recognition.
- Achieved the dismissal of all claims on a pretrial motion for an international law firm in multi-district, class action litigation alleging claims of securities fraud and malpractice arising out of the firm’s representation of the lead underwriter in a public offering.
- Obtained the dismissal of all claims on a pretrial motion for an investment bank in multi-district litigation alleging claims of securities fraud arising out of a private offering of securitized assets.
- Achieved a dismissal with prejudice of all claims on a pretrial motion for a public company in a class action litigation asserting securities fraud claims.
Request a Consultation
To request a consultation at the New York City office call (212) 867-6820 or complete this contact form.
