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Connecticut SEC Enforcement Attorneys

Providing meticulous securities oversight

Lueker Mott Zezula LLC helps ensure that your company is in compliance with all necessary government regulations. We offer dependable counsel with regards to:

  • AMEX, Nasdaq and NYSE listings and compliance
  • Blue sky compliance
  • SEC compliance
    • Reporting by public companies
    • Reporting by officers, directors and large shareholders
  • Margin violations
  • Options abuse
  • Failure to supervise
  • Corporate governance
  • Draft and review policy and procedure

Aggressive litigation of your securities disputes

Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker/dealers and their customers. We vigorously defend our corporate clients against shareholder class action lawsuits for alleged violations of securities regulations, including actions under:

Securities Act of 1933: covering IPO liability

  • Sec. 5 (failure to register)
  • Sec. 11 (misstatements or omissions in registration statement)
  • Sec. 12 (misstatements or omissions in offering statement)
  • Sec. 17 (fraud)

Securities Exchange Act of 1934: covering ongoing disclosure violations

  • Sec. 10(b) Rule 10b-5 insider trading, tipping
  • Sec. 18 misleading statements in filed reports

We also defend clients against charges of control person liability directed at officers and directors.

Contact an experienced Connecticut securities law firm

To schedule a consultation with Lueker Mott Zezula LLC, call 203-664-8025 or contact our Stamford, Connecticut office online.

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Office Location
  • Stamford Office
    750 East Main Street
    6th Floor
    Stamford, Connecticut 06902
    Phone: 203-408-6500
    Fax: 203-724-4179