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Practice Area Financial & Securities

Money makes the world go 'round, and someone always is trying to go around a little faster than the law allows.  Our experience handling claims in the financial field includes claims brought in state and federal court, claims pursued through the industry arbitration process—Financial Industry Regulatory Authority (“FINRA”) arbitrations, and class actions involving securities fraud and corporate governance issues.

Banking and lender liability claims

The lawyers at Duffy & Young represent individuals and companies in lawsuits against banks for misleading borrowers and misleading investors.  We represent clients who have suffered damages resulting from a bank or other financial institution’s failure to follow regulations and its own policies, such as obtaining all proper identification when opening an account or allowing transfers of substantial assets without proper authorization.  For plaintiffs, we look for cases where there is a real injustice and we can help make it right.

We also represent certain banks and financial institutions in defense of lawsuits, including members of the Board of Directors or Officers who are seeking to operate a business in the best interests of its shareholders.  Not every foreclosure or every termination of an officer is against the law.

Securities fraud

We represent individuals whose trust in financial advisors proves to have been misplaced and shareholders who lose while officers and directors of the company gain.  South Carolina law and federal law demand honest, effective disclosures, but the boilerplate language common in the industry often does not meet those requirements, and at times simply is not intended to.  Moreover, the Financial Industry Regulatory Authority (“FINRA”) rules dictate that a registered financial advisor must make decisions in line with the appropriate goals expressed by the client, and not simply press investments on clients because the advisor will earn higher fees.  Duffy & Young has employed the FINRA arbitration process as an efficient method for bringing these types of claims on behalf of clients.

Shareholder derivative actions

The derivative action, or action on behalf of the organization, is an underutilized and misunderstood tool for owners of a company.  Although the technical details can be exacting, the results can be powerful.  Duffy & Young’s attorneys have pursued and defended these derivative actions on behalf of individuals with ownership interests in small companies and as class actions involving large corporations.   

Attorneys who can help

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Brian C. Duffy

Brian C. Duffy is a trial lawyer with experience in civil cases of all shapes and sizes—from cases in the United States Supreme Court and with judgments and settlements of tens of millions of dollars to a variety of smaller disputes in South Carolina's trial courts and administrative law courts.

Degrees

  • JD, Vanderbilt Law School
  • BA, University of North Carolina at Chapel Hill

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J. Rutledge Young, III

Rutledge is a Charleston native and has been a trial lawyer for close to 20 years.  Rutledge has represented injured people, defrauded investors, employees, borrowers, landowners, businessmen, and closely held companies.   During his career Rutledge has tried cases against banks, insurance companies, publicly traded corporations, and national product manufacturers among others.  Everyone is equal in the eyes of the law, and anyone can be held accountable through a jury trial. 

Degrees

  • JD, University of South Carolina 
  • BA, University of Virginia

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John P. Linton

In over thirty years of handling civil matters for Plaintiffs and Defendants, Johnny Linton has concluded jury and non-jury trials in counties throughout South Carolina and in five Divisions of the United States District Court.

Degrees

  • JD, University of South Carolina
  • BA, Wofford College

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Julie Moore

Julie Moore is a trial attorney who has represented clients in municipal, state and federal courts at both the trial and appellate levels.

Degrees

  • JD, University of South Carolina
  • BA, University of South Carolina

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