PRACTICE AREAS

TRIAL ADVOCACY

Our lawyers represent plaintiffs and defendants in trials in state and federal court and in arbitrations before the NASD, NYSE, and private arbitration forums such as the American Arbitration Association and JAMS.  Collectively we have tried over 125 matters to verdict or award.

SECURITIES LITIGATION

Markun Zusman & Compton ("MZC") represents broker-dealer firms and financial services professionals in arbitrations and litigation.  We handle matters in state and federal court and before self-regulatory organizations and the American Arbitration Association.  Typical claims include allegations of unsuitable recommendations, inadequate due diligence, excessive or unauthorized trading, improper mutual fund switching, churning, selling away, failure to supervise, failure to register securities, non-disclosure of material information, and fraud.  The firm handles all varieties of claims, including large exposure, multi-plaintiff, and class action matters.

EMPLOYMENT LITIGATION

The firm represents clients in employment litigation, including claims for misappropriation of trade secrets, discrimination, breach of employment agreements, and partnership disputes.  Some of these claims require immediate action, including filing of or responding to complaints seeking injunctive relief.

ERISA LITIGATION

Our attorneys defend financial services professionals, including securities brokers and broker-dealers, investment advisors, insurance agents, pension plan administrators, third-party administrators, actuaries, and accountants in benefits and fiduciary duty claims under ERISA.  MZC litigates issues concerning who is a fiduciary, the scope of ERISA preemption, the adequacy of investment advice, technical administration errors, and self-dealing by a fiduciary.

CLASS ACTIONS

MZC defends broker-dealers in class and mass actions involving registration, due diligence, and securities fraud claims.  We also handle investor and ERISA class actions involving banks and major corporations.

REGULATORY INVESTIGATIONS

Registered representatives, financial planners, and investment advisors who are being investigated by regulatory agencies, including the SEC, Department of Labor, California Department of Corporations, the NASD, and the Certified Financial Planner Board of Standards, seek the firm's counsel in investigations and proceedings involving allegations of insider trading, unauthorized and excessive trading, unsuitable recommendations, churning, and other alleged violations of ethical or disciplinary rules.  The firm advises and represents professionals in these matters at the investigative phase, hearing, and through settlement or appeal.

COMMERCIAL LITIGATION

We represent clients in all types of commercial litigation, including partnership disputes, corporate non-bankruptcy dissolutions, breach of contract, and business tort actions.

LITIGATION PREVENTION

Our firm works extensively with broker-dealer clients and financial services professionals in litigation prevention, presenting seminars for clients at regional and national conferences.  The firm's attorneys have also conducted presentations for financial professionals at conferences sponsored by financial planning and insurance organizations, including the Institute of Certified Financial Planners and the International Association of Financial Planners.