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& Securities Partnership & LLC Litigation & Mediation |
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Investments & Securities Bob McGaughey is author of the definitive book Oregon Securities Law published by the OSB Professional Liability Fund. He is a former Securities Examiner with the Oregon Securities Division. His Oregon Supreme Court cases (Computer Concepts v. Brandt and Prince v. Brydon) are leading cases under Oregon Securities Law. He is past Chair of the OSB Securities Regulation Section. Bob has represented victims of investment fraud for more than 25 years. We have represented victims in a number of investment scams – cases involving the sales of interests-paying Notes, the sale of stock, limited partnership interests & LLC membership interest, the sale of pay telephones and an interest in a movie. We have litigated over whether the securities laws apply to LLC membership interests, promissory notes, options, convertible notes, and other unusual investment vehicles. We have arbitrated broker cases with NASD, FINRA & AAA We represent individual investors, as well as groups of investors in a single investment fraud. In one case, we represented 58 investors in an investment Ponzi scheme. Broker/Investment Advisor Claims We represent customers with disputes against securities brokers and investment advisors for bad investment advice, failure to execute orders, selling unapproved or illegal investments and stealing. For example, we represented several victims of financial planner (later sentence to serve time in federal penitentiary) who dummied up monthly statement while pocketing his client funds. Bob McGaughey is past Chair of the Oregon State Bar Securities Regulation Section and a former Securities Examiner with the Oregon Securities Division. We represent the victims of elder financial abuse. For example, we represented a widow who attended a seminar advertised on television where she was pressured into signing up for tutorials on setting up her own internet business, and who was then repeatedly called to buy new, and even better products. Bigger and bigger charges kept appearing on her credit card. Bob McGaughey is past Chair of the Oregon State Bar Business Litigation Section. Representative/Broker Employment Disputes We have represented a number of registered representatives in employment or termination disputes with their brokers/advisors. We represent registered representatives in litigation, FINRA arbitrations and administrative actions by regulators. Bob McGaughey is past Chair of the Oregon State Bar Securities Regulation Section. Employee Stock Option & ESOP Rights We represent employees with disputes over stock options, stock vesting agreements and stock ownership. After termination, we have represented employees whose stock ownership or option rights were denied. After the sale of a company, we have represented employees in recovering funds for the company ESOP when the company’s majority owner tried to deny the ESOP its fair share of the proceeds. Bob McGaughey is past Chair of the Oregon State Bar Business Litigation Section. |