Betts Diplas PLLC represents businesses, financial professionals, and investors in securities, financial fraud, and shareholder disputes in federal and state courts and in arbitration, including before FINRA.
Our experience encompasses claims for securities fraud, common law fraud, negligent misrepresentation, breach of fiduciary duty (and aiding and abetting thereof), breach of contract, and corporate waste arising from securities offerings, investment management, fiduciary relationships, and post-closing M&A disputes.
We have also conducted and advised companies, boards, and special committees on internal investigations into securities-related issues in connection with M&A and other corporate transactions, public disclosures, board and committee processes, related-party transactions, compensation and incentive structures, executive transitions, and financing activities.
Our work is informed by our in-house experience at the wealth management division of a leading global financial institution, where we defended the company and its financial advisors in numerous FINRA arbitrations, handled expungement proceedings and ancillary civil litigation, and engaged directly with regulators.
Certain matters described above were handled by Michael A. Betts and/or Alexandros Diplas prior to the formation of Betts Diplas PLLC.
