Securities Litigation & Securities Arbitration
  

Russell C. Weigel IIl
Email
786-888-4567
5775 Blue Lagoon Drive
Suite 100
Miami, Florida 33126

Having investigated over 80 and prosecuted over 35 regulatory actions for the SEC, Russell C. Weigel, III, knows well the agenda of the regulator, the resources and limitations inherent in government litigation, and the substantive law, procedural twists, and strategies of securities litigation.  Having represented defendants in SEC actions and SRO inquiries, Mr. Weigel knows well the economic and emotional pressures, distress and anxiety suffered by witnesses undergoing regulatory investigations or responding to investor claims.  He has seen the impact on families and employers, and is well aware of the potential damage to reputation that professionals may suffer during such matters. Mr. Weigel takes care to address these emotionally charged situations in all of his client counseling and advocacy.

Securities Litigation and Securities Arbitration
Russ Weigel defends, with one exception, securities litigation matters nationwide, in state and federal courts and in NASD and NYSE arbitrations, regardless of the location of the client. Mr. Weigel is available and committed to appear wherever necessary to marshal the evidence critical to his clients’ cases.  Mr. Weigel defends securities firms, public companies, and their officers, directors, employees and associated persons from investor arbitration or court claims.

Representation of Ponzi scheme victims in investment fraud litigation is the one possible exception to Mr. Weigel's securities litigation and securities arbitration defense practice.  Generally, the victims of investment fraud will be suing in state or federal court, and Mr. Weigel will be retained to get in early before other suits are filed to try to recover the client's lost funds. This type of plaintiff's representation is a rare exception for situations where Mr. Weigel estimates that the client is likely to be made whole, and the law firm will be reasonably compensated for its time.  Most often, these situations will involve the hourly compensation of the law firm rather than a contingent fee arrangement.  Mr. Weigel has much experience in investment fraud litigation.  This type of litigation typifies the essence of his SEC enforcement experience. 

Regulatory Examination and Enforcement Inquiries, Investigations, and Proceedings
Although he is based in Miami, Florida, Mr. Weigel is available nationwide in defense of securities and commodities brokers, investment advisers, companies and others in Securities and Exchange Commission, Commodity Futures Trading Commission, National Association of Securities Dealers-Regulation (now known as FINRA), New York Stock Exchange, Inc. (now known as FINRA), and state regulatory  inquiries, investigations and proceedings. Mr. Weigel knows thoroughly the internal mechanisms of the regulatory entities and their agendas and policies and can advocate effectively on behalf of his clients. Mr. Weigel has recently represented clients before the California Department of Insurance, California Department of Corporations, Florida Department of Financial Services, Kansas Office of the Securities Commissioner, Missouri Secretary of State Securities Division, Ohio Department of Commerce Division of Securities, Texas State  Securities Board, and Virginia State Corporation Commission Division of Securities.

Investment Professional Employment and Termination
Russ Weigel counsels and represents investment professionals and securities member firms in employment disputes.  Whether in securities industry arbitration proceedings for Form U-4 or Form U-5 defamation or expungement matters,  state court actions for alleged civil rights violations, or federal injunctive actions for raiding or non-compete claims, Mr. Weigel can assist you with your industry employment concerns.

Mr. Weigel is an AV-rated* securities litigator, admitted to practice law in the state courts of Florida and New York and in the  District of Columbia, in the Eleventh Circuit Court of Appeals, the District of Columbia Circuit Court of Appeals, and in all three federal district courts in Florida, the Eastern District of Michigan, and the Southern and Eastern Districts of New York. He is licensed as a NASD Dispute Resolution Arbitrator and Mediator and serves as a court-appointed receiver and special master in the United States District Court, Southern District of Florida.

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