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SECURITIES & COMMODITIES

Friday, January 16, 2015

Securities Litigation & Arbitration

Homer Bonner Jacobs Ortiz counsels and represents clients in securities litigation, arbitration, regulatory enforcement proceedings, investigations and compliance matters.  The firm has represented broker/dealers and their principals, investment advisors, hedge fund managers, and other professionals in hundreds of arbitrations, reparations proceedings, and litigation matters before the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, New York Stock Exchange (NYSE), various other exchanges, and state and federal courts.  We also regularly defend institutions and individuals in connection with investigations and actions brought in federal courts and administrative forums by the SEC, United States Attorney, court-appointed receivers, State Attorneys General, and self-regulatory organizations.

The firm defends complex securities claims in state, federal, and appellate courts involving market manipulation, fraud, and various other provisions of the federal securities laws, rules, and regulations.  We assist clients in responding to inquiries from the government and self-regulatory organizations and defend them in governmental and private actions.

Commodities Litigation & Arbitration

Homer Bonner Jacobs Ortiz has decades of collective experience representing clients in all types of commodities-related arbitrations, litigation, and appeals.  The firm has earned a national reputation for creative, effective, and cost-efficient representation in commodity cases.

The firm regularly represents associated persons, futures commission merchants, commodity trading advisors, introducing brokers and principals of these firms in arbitration, mediation, reparations proceedings and administrative actions before the National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), various exchanges, and in state and federal courts.  Over our long history of handling commodity matters, we have acquired a profound understanding of the Commodity Exchange Act and the rules and regulations of the CFTC and NFA.

The firm also has substantial experience in defending institutions and individuals in disciplinary proceedings, investigations and appeals with respect to matters brought by the NFA, CFTC, United States Attorney, State Attorneys General, and self-regulatory organizations.  We assist clients in responding to inquiries from the government and self-regulatory organizations, and we defend them in governmental and private actions.

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