Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

Did the actions/inactions of my broker fall below the required standard of care?

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Jeff Pederson has been practicing law since 1998. His primary focus has been in suits against securities broker-dealers. Prior to starting his solo practice, Mr. Pederson was with a large, AV rated firm for eight years where he represented investors in suits concerning all areas of securities fraud and mismanagement. Over the course of his career, Mr. Pederson has represented over two hundred individual investors in more than 40 different states in securities related suits. These investors’ suits include cases concerning mutual fund manager fraud, investment analyst fraud, stockbroker theft, brokerage fraud, failure of broker or brokerage to conduct due diligence, variable annuity fraud, 72-T fraud, hedge fund fraud, churning, unauthorized trading of investments, unauthorized use of margin, undisclosed broker conflict of interests and compensation, stockbroker mismanagement of retirement savings, and the sale of unsuitable securities. The suits have been against some of the largest securities brokerage firms in the world. Mr. Pederson has also represented victims of Ponzi scams including victims of Bernard Madoff.

In addition to representing individuals in securities suits, Mr. Pederson has assisted his clients in commercial arbitration matters, multiple cases concerning natural gas explosions, and medical device and pharmaceutical mass torts against some of the largest corporations in the world.

In all, Mr. Pederson has helped his clients recover in excess of $70 million in judgments and settlements over the course of his career.


  • State of Colorado 1998
  • U.S. District Court for the District of Colorado 1999
  • U.S. District Court for the Central District of Illinois 2007
  • U.S. District Court for the Northern District of Illinois 2017
  • 10th Circuit Court of Appeals 2001

Quotes and Publications:

  • NBC News, “Designed to Distract: Stock App Robinhood Nudges Users to Take Risks”, September 12, 2019.
  • Bloomberg, “The Flatter U.S. Yield Curve Is Roiling Mom and Pop Investors”, April 26, 2018.
  • Wall Street Journal, “States Aim to Intensify Checks of Barred Brokers”, June 4, 2015.
  • Kiplinger’s Personal Finance, “Problematic High-Yield Investments”, May 7, 2013.
  • Quoted in the Federal Register concerning a change to the rules of procedure for securities arbitrations adopted by the Securities and Exchange Commission. FR Doc No: E6-17563.
  • “So Your Client Wants to Sue her Stockbroker”, Colorado Trial Lawyers Association (“CTLA”), Trial Talk Magazine, December 2011.
  • “The Causal Connection between Gadolinium-based MRI Contrast Dye and Nephrogenic Systemic Fibrosis”, American Association for Justice (“AAJ”), Section Connection, November 2007.
  • TheStreet.Com, “Caveat Emptor, Investors: The Regulators Are Trying to Protect You”, June 18, 2014.

Published Cases:

  • Parker v. United Securities Alliance, FINRA No. 13-00536
  • Sacco v. Community Bankers Securities, FINRA 10-01497
  • Brooks v. Morgan Keegan, FINRA 11-03286
  • Weaver v. Washington Square Securities, NASD 03-03768
  • Wiedemann v. Morgan Stanley, NYSE 03-011498
  • Collins v. Edward Jones, NYSE 03-011333
  • Medina v. State of Colorado, (Colorado Supreme Court) 35 P.3d 443 (Colo. 2001)
  • Medina v. State of Colorado, (Colorado Court of Appeals) 17 P.3d 178 (Colo.App.2000)
  • Haynes v. City of Gunnison, 214 F.Supp.2d 1119 (D.Colo.2002)



  • Public Investors Arbitration Bar Association (legislative committee, 2006 and 2013, Dodd Frank committee 2011)