Securities

Securities Litigation

Securities Litigation and Arbitration 
 
35 Years Representing Investors, Brokers and Firms in Securities Law Matters

Reggie C. Giffin is one of the best known and most respected securities litigation and arbitration lawyers in the Midwest. Located in Kansas City, Missouri, he provides securities litigation and arbitration representation to investors, securities professionals and firms throughout the Midwest including the states of Missouri, Kansas, Nebraska, Iowa, Colorado, Oklahoma, Illinois and Arkansas.

Reggie Giffin has more than 35 years experience in securities litigation and arbitration with a record of proven success. Based on this experience he has a thorough knowledge and understanding of how the securities industry works and how securities firms do business. He has represented individual investors, brokers and securities firms in a wide variety of securities, options, and commodities cases before federal and state courts and arbitration panels. He has supervised the defense of cases arising out of public offerings and has represented special investigatory committees in tender offer litigation. He is currently on the American Arbitration Association (AAA) commercial and securities panels. He has received mediation training through the University of Missouri law school and is a former NASD arbitrator. His experience is extensive. The types of cases he has successfully handled include:

• Churning
• Suitability
• Fraud and misrepresentation
• Unauthorized trading
• Breach of fiduciary duty
• Failure to diversify
• Failure to supervise
• Insider trading
• Raiding and recruiting

Mr. Giffin has successfully handled cases involving a number of different types of securities products. These include:

• Stocks
• Bonds
• Mutual funds
• Options
• Index options
• Commodities
• Variable annuities.

He has also provided representation to Registered Representatives and other investment professionals in disputes with their firms. As a broker you know the securities industry can be a harsh and cold industry with little loyalty or regard for you. Mr. Giffin will represent you in disputes with your firm helping you protect your legal rights and receive fair treatment. Let his 35 years of experience in the securities area help you protect your rights in:

• Employment and termination disputes
• U-4/U-5 disputes including defamation claims
• Non-compete agreement disputes
• Promissory Note disputes

If you are a broker, investment advisor, certified financial planner, securities lawyer, or other securities professional requiring representation in securities or financial litigation, arbitration or enforcement cases, call (816) 453-2253 for a free initial consultation.

Reggie C. Giffin, P.C.
200 NW 47th Street
Kansas City, Missouri 64116
Telephone: (816) 453-2253
Cell: (816) 588-6596
Fax: (816) 453-2496
Email: rgiffin@kc.rr.com

Contact us about your legal matter today!