Joseph D. Carney & Associates, LLC provides comprehensive planning, legal advice, and litigation services to corporate clients, individual investors, broker-dealers, investment advisors and financial consultants seeking to obtain access to capital markets. Our securities practice involves all aspects of the regulatory and legal components of private and public capital formation, including:

• Formation of securities, including variable annuities, venture capital and hedge funds
• Methods of capitalization from public and private sources
• Initial public offerings (IPO)
• Regulatory compliance during the issuance and trading of securities, with the SEC and other government agencies
• Broker-customer relationship issues
• Multi-state and international investment advice
• Securities dispute resolution, including litigation, mediation and arbitration
• NASD enforcement actions and SEC sanctions
• Federal anti-trust litigation
• Drafting, review, and implementation of securities agreements

Securities Litigation

Our Firm has developed a substantial practice in securities litigation. We defend investors and brokers facing civil actions or criminal charges related to the issuance and trading of securities, and protect investors who were harmed by practices including:

• Insider trading
• Stock churning
• Fraud
• Suitability of investments
• False prospectus
• Execution of stop-loss orders
• Lawsuits seeking investment recovery
• Sarbanes-Oxley compliance
• Mediation and arbitration of Securities disputes
• Negative U-5 reviews

Our Firm provides an aggressive defense for financial professionals facing job loss, diminished professional reputation, or large fines because of allegations of securities improprieties.

Joseph Carney is a skilled negotiator and licensed arbitrator, he is a staunch advocate for the individual rights of his clients and is never intimidated by the prospect of litigation. His resourceful legal strategies have helped numerous clients across the country achieve timely, cost-effective resolutions of securities disputes, and he has prepared and presented complex securities litigation at all levels of the state and federal courts.