Investments & Securities
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. Bob is
past Chair of the OSB Securities Regulation Section.
Bob has represented victims of investment fraud for more than 28 years.
- Represent victims in a number of investment scams – cases involving
the sales of promissory notes, stock, limited partnership interests and LLC
membership interest
- Litigate whether the securities laws apply to LLC membership interests,
promissory notes, options, convertible notes, and other unusual
investment vehicles
- Arbitrate investment cases with NASD, FINRA & AAA
- Represent individual investors, as well as groups of investors in a single
investment fraud. For example, represented 58 investors in an investment
Ponzi scheme
- Class actions involving stockholders and securities
Broker/Investment Adviser Claims
- Customer disputes with securities brokers and investment advisers for
bad investment advice, failure to execute orders, selling unapproved or
illegal investments and stealing
- Represented several victims of a financial planner (later sentenced to
serve time in a federal penitentiary) who dummied up monthly statements
while pocketing his clients’ funds
Elder Financial Abuse
- Represent victims of elder financial abuse
- 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 was then repeatedly urged to buy new, and
even better products. Bigger and bigger charges kept appearing on her
credit card
- Represent an elderly woman who “purchased” emeralds which were to be
imported into the U.S. from Brazil on the promise that she would receive
back 3 times her investment in 90 – 120 days
Representative/Broker Employment Disputes
- Employment or termination disputes between advisers and their brokers
- Represent registered representatives in litigation, FINRA arbitrations and
administrative actions by regulators
Employee Stock Option & ESOP Rights
- 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, 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
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