For 35 years Dave Franceski has concentrated his litigation and enforcement practice on complex commercial and securities matters, primarily defending and counseling the firm’s top investment banking, broker/dealer and investment advisory clients. During his career, Dave has been privileged to represent the country’s leading national, regional and local investment banks, broker dealers, investment companies and other financial firms, including many of Wall Street’s major banks and broker/dealers. Dave has tried to verdict, decision or award well over 100 cases. His litigation experience – before judges, juries, arbitrators and agency enforcement panels – extends from complex class actions, multimillion dollar securities investor claims and federal insider trading investigations to state licensing and registration proceedings, broker raiding claims and other industry-related commercial disputes.
INVESTMENT PRODUCT EXPERIENCE
Dave has a thorough understanding of virtually all investment products, including stocks, bonds, commodities, mutual funds, unit investment trusts, auction rate and mortgage-backed securities, non-traded REITS, structured notes and other alternative investments. Dave’s many years of securities litigation has included claims arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, the Investment Advisors Act of 1940, the Investment Company Act of 1940, ERISA, RICO, Dodd-Frank, the Pennsylvania Securities Act, the PA Unfair Trade Practices and Consumer Protection Law, and similar state securities and consumer fraud statutes. A member of SIFMA’s Legal and Compliance Division, the Financial Services Institute and the National Society of Compliance Professionals, Dave writes and speaks frequently on issues of vital importance to the financial services and securities industries.