Practice Areas > Securities Law

Investor Lawsuits: Have you invested in the stock market or bond market and question whether your broker has acted in your best interests? If you have lost money, it may be due to excessive trading, called churning, or because your broker has not completely and accurately represented to you what the risk level of your investment may be, which is called "a material misrepresentation or omission." Either may subject your broker and the firm that holds your funds to the possibility of reimbursing your losses to you. If you were sold investments that were not appropriate for your risk levels, you may have a claim for "unsuitability." Were trades executed in your account that you did not authorize? Are you fully aware of any "mark-ups" your broker may have charged you in the purchase of over-the-counter stocks or bond investments?

There are several firms who have been found to have a conflict of interest when their broker's recommended that you purchase investments that are highly recommended by their portfolio managers at a time when the firm was holding a large position themselves that they were trying to sell.

If you feel that any of the above may have occurred in your investments, you should be aware that the National Association of Security Dealer's (NASD) provides simplified, low cost procedures for your complaint to be heard before a panel of experienced securities arbitrators who will evaluate your claim. Elaine Esther Lukic is an experienced securities attorney who has represented countless clients in NASD arbitrations. These cases are taken on a contingent fee basis, so you don't have to pay hourly legal fees up front.

Transactional Securities Law: Bring your company public is an excellent method of raising capital necessary for capital expansion of many up and coming private firms. The Securities and Exchange Commission as well as the New York Stock Exchange has extremely detailed regulations concerning reporting requirements and procedures necessary to make a public offering. You may fall within one of several exemptions to these requirements under Regulation D which will make your stock offering less complicated. Elaine Esther Lukic is an experienced transactional securities attorney, and can advise your company regarding all of these requirements.

Criminal Defense of Securities Fraud: If you have been charged with making a "material misstatement or omission" as well as criminal theft on either a state or federal level, it is important to speak to an attorney who is familiar with both criminal statutes and the securities industry. Fines, both civil through the SEC and NASD as well as criminal fines, and the substantial jail sentences imposed upon conviction of such crimes are staggering. The minimum SEC monetary fine for each separate act of money laundering, for example, can exceed $500,000.00. Elaine Esther Lukic has experience and training in SEC investigations as well as Department of Justice criminal proceedings, and works with a team of specialists who will assist in your defense on both an individual as well as corporate level.

EXPERT WITNESS: Elaine E. Lukic also assists in defense of criminal securities cases in the capacity of expert witness. She will calculate appropriate monetary awards in civil NASD and SEC arbitrations, including turn-over ratios for determination of churning, misrepresentation and unsuitability claims, market losses, mark ups and commissions. In criminal defense cases, she has experience in countering prosecution expert witnesses, forensic CPAs in determination of theft and securities fraud allegations. With 18 years of experience as a securities broker as well as attorney, Ms. Lukic presents a rare background that is often useful in expert witness presentations, and therefore critical to any securities case presentation. Ms. Lukic fee is $300.00/hour for expert witness work.

All initial legal consultations are FREE, so please contact Elaine Esther Lukic to schedule an appointment to discuss the details of your case.

Elaine Esther Lukic, Securities Law Attorney.
Legal representation in Breckenridge, Vail and Denver Colorado, CO.
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