Cory Braddock is based in the firm’s Phoenix office, where he is a member of both the Litigation, Investigations, and Trials (LIT) Practice Group and the Securities Litigation and Investigations Practice Group. His practice focuses on complex commercial litigation with a particular emphasis on securities and financial services institution litigation in both federal and state courts, Financial Industry Regulatory Authority (FINRA) arbitration proceedings, general commercial litigation matters, and tax controversy litigation.
Cory’s securities practice draws from his substantial experience in the brokerage industry where he was a producing broker (financial representative) with Fidelity Investments (Series 7, 65, life agent) and a branch manager with Scottrade (Series 24). While in the brokerage industry, he obtained, and still maintains, his Certified Financial Planner designation. Cory has defended a number of financial institutions, including retail banks, credit unions, insurance companies, broker-dealers, investment advisers, financial planners, brokers, insurance agents, and unlicensed persons against claims involving alleged breach of fiduciary duty, negligence, unauthorized trading, churning, suitability, selling away, failure to supervise, claims under the Securities Act of 1934 (Rule 10b-5 claims), the Investment Advisers Act of 1940, and under Arizona’s State securities fraud statutes.
Cory’s general LIT practice includes the representation of national banks, state credit unions, third-party Automated Clearing House (ACH) processors, real estate developers, title companies, and individuals in federal and state court and in arbitration proceedings. Cory has served as both lead counsel and as a supporting member of a litigation team. Specifically, he prosecuted, including conducting direct examination, cross examination and delivering closing arguments, in a Section 1983 claim. He has also prepared briefing for, and argued in, the Ninth Circuit Court of Appeals.
Cory’s tax controversy practice focuses on representing nonprofit organizations, universities, and businesses in state and local tax matters including litigation relating to the property tax exemptions, property tax valuation, and compliance with Arizona’s unclaimed property statutes.
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