top of page

Securities Litigation

We have represented dozens of public companies in both state and federal court complex financial litigation involving convertible promissory notes, merchant funding agreements, equity lines of credit, 3(a)(10) purported debt remediation transactions and Securities laws violations.  Most financial litigation stems from either improperly or ambiguously drafted funding instruments, contracts that contain unconscionable terms, violations of various state usury law statutes, violations of the Securities Act or federal and state RICO (Racketeering Influenced Corrupt Organization) by aggressive lenders that prey on and take advantage of underfunded and vulnerable businesses. While we believe that avoiding litigation is always a better course to pursue, sometimes litigation is the only way to resolve business conflicts.


Many of our clients' defenses and cases are based on the lenders' transactions being void under relevant state criminal usury statutes (New York, Texas, Florida, California, Massachusetts, etc....). These same state usury laws apply equally to bogus merchant funding agreements that are actually disguised loans.  Other violations by these funders is the failure to register as a dealer as is required under 15 U.S. Code §78o.  The Securities Act voids these transactions as to the violator (funder).


Our attorneys are experienced in these types of funding and securities litigation matters. 

bottom of page