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Securities and Investment Product Litigation

Connecticut attorneys for complex financial disputes

When our clients face an issue involving securities fraud or misconduct by a stock holder, financial advisor, or investment brokerage firm, we help them get the results they deserve. We utilize our knowledge and experience with various sophisticated investment and financial products and services, and the duty which applies to the offering or sale of such products, to resolve disputes through litigation, trial, arbitration or mediation.

We also counsel financial advisors and broker-dealers in non-compete, restrictive covenant, trade secret and unfair trade practice claims litigation, as well as administrative proceedings before the Connecticut Department of Banking and Connecticut Department of Insurance.

At O'Sullivan McCormack Jensen & Bliss, we represent clients in a variety of securities and financial industry-related legal matters, including FINRA arbitration and court proceedings involving the following types of claims: 

  • Unsuitable investments
  • Fraud
  • Misrepresentation
  • Connecticut Uniform Securities Act violations (CUSA)
  • Breach of contract
  • Churning
  • Breach of fiduciary duty
  • Connecticut Unfair Insurance Practices Act (CUIPA)