Brentwood Law Group handles securities and investment disputes for clients on both sides of the table — from investors who have suffered losses due to fraud or mismanagement to businesses navigating securities compliance and regulatory obligations.
Securities law intersects with many of our core practice areas, including corporate transactions, creditor rights, and commercial litigation. That cross-disciplinary depth allows us to see the full picture in complex investment disputes and structure strategies that account for regulatory, transactional, and litigation considerations simultaneously.
Types of Matters We Handle
Frequently Asked Questions
Are LLC membership interests considered securities?
They can be. Under the Howey test, an LLC membership interest may be classified as a security if the investor is relying primarily on the efforts of others for profit. The analysis depends on the specific operating agreement and the member’s actual role in management. This classification has significant implications for how interests can be offered, sold, and regulated.
What is a ROBS 401(k) and is it legal?
ROBS (Rollover for Business Startups) is a structure that allows you to use retirement funds to invest in your own business without early withdrawal penalties or taxes. It involves rolling 401(k) funds into a new plan, which then purchases stock in your C-corporation. While legal, ROBS transactions require careful structuring to avoid prohibited transaction rules and IRS scrutiny. We help clients set up and maintain compliant ROBS structures.
What should I do if I suspect my investment advisor acted improperly?
Document everything and consult an attorney before taking any action. Potential claims may include breach of fiduciary duty, unsuitable investment recommendations, unauthorized trading, and fraud. There are strict time limitations for filing claims, and some disputes must be arbitrated through FINRA rather than litigated in court. We evaluate the facts and advise on the best path for recovery.