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Securities Litigation

Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker-dealers and their customers.  Mr. Ebaugh vigorously represents plaintiffs and defendants in securities litigation, including actions for misstatements or omissions, failure to register, aiding and abetting, and control person liability.  Mr. Ebaugh’s notable representations in this practice area include the following:

  • Successfully defended California-based broker-dealer in securities fraud lawsuit.  On behalf of the broker-dealer, Mr. Ebaugh filed an anti-SLAPP motion to dismiss plaintiff’s claims.  In response, the plaintiff promptly dismissed all of his claims against the broker-dealer.
  • Defended Texas-based company and two of its officers in a multi-million dollar securities fraud case brought by an institutional investor in the United States District Court for the Eastern District of New York.  After completion of the initial phase of discovery, the parties reached a settlement and the case was dismissed.
  • Secured summary judgment for a biotech company against a plaintiff alleging entitlement to a $10 million finder’s fee.
  • Secured summary judgment for investor against a company that had sold him securities in violation of the Texas Securities Act.
  • Special counsel to Harris County Attorney Vince Ryan in connection with Harris County’s claims against two brokerage firms for excessive markups.  After threatening to file suit, the claims were settled.