Securities Litigation & Arbitration

Royal Lea represents individual and institutional investors who were sold interests in private placements, Regulation D offerings, and other unregistered securities — often through misrepresentation, undisclosed conflicts, or outright fraud by promoters and fund managers.

Much of Royal Lea's current securities practice centers on private and unregistered offerings — investments sold outside the public markets under exemptions like Regulation D, often to accredited investors who were promised returns the underlying business could never support. When those offerings collapse or turn out to be fraudulent, investors are frequently left with few options besides litigation or, in cases involving a receivership, a formal claims process.

Where an offering was sold through a broker-dealer, disputes often proceed through FINRA arbitration — a forum Royal knows intimately, having served as a FINRA arbitrator himself. Where an offering was sold by an unlicensed promoter or has collapsed into a receivership or bankruptcy, as in the Ferrum Capital matter, he represents investors and claimants through that process instead.

As a former Co-Chair of the Amicus Brief Committee for the Public Investors Advocacy Bar Association (PIABA), he has helped shape the legal arguments used nationally to protect investor rights.

FAQ

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