Securities Litigation & Arbitration

Guararra & Zaitz is also experienced in handling securities, and securities-related arbitrations. Both before the American Arbitration Association and the National Association of Securities Dealers. Some of the recent proceedings we have handled in this area include:

• Representation of hedge fund manager in AAA arbitration against claims made by limited partner investors alleging that they had incurred total loss of investment capital in fund managed by co-manager of related hedge fund who had allegedly engaged in over-leveraging and excess margin trading.

• Recovery on behalf of a private investor in NASD arbitration for losses to retirement funds resulting from fund manager’s failure to maintain pre-determined age appropriate asset allocations for investor.