Our firm maintains an active, national practice representing Securities Brokerage, Investment Advisory, and other Financial Services firms and their professionals in a wide variety of matters.
Our clients have included broker-dealers, self-clearing and introducing firms, bank owned brokerages, investment advisors, investment banks, funds, and a wide variety of wealth management businesses and their professionals. We have also represented accounting firms, issuers and other businesses facing securities and related litigation and enforcement matters.
We regularly serve as trial counsel to clients facing securities and investment related claims in state and federal courts, as well as arbitration before sponsoring and self-regulatory organizations. Such cases have been brought under federal and state securities laws and regulations, as well as common-law claims. Our cases have involved a wide variety of investment products, including equities, alternative and structured products, annuities, fixed income and debt instruments, and a variety of investment services and transactions.
As trial lawyers, we believe the most successful outcomes, either in settlement or on the merits, result from thorough preparation of a compelling and efficient themes, a command of the relevant issues and facts, and effective communication and collaboration within our client teams. Our engagements come directly from legal departments and senior management of financial and investment firms, as well as through leading liability carriers. We have served as lead outside counsel, co-counsel and local counsel in cases across the country.
We also represent Financial Services clients in regulatory investigations, compliance, and enforcement matters brought by a variety of regulatory authorities, including the SEC, FINRA, MSRB, CFP Board, and various state regulatory and enforcement agencies.
Leveraging our firm’s strengths in Labor and Employment, we also advise and represent Financial Services firms in a wide variety of employment matters, including recruiting, “on-boarding”, independent brokerage and relationships, consulting, franchise and other agreements, broker protocol issues and compliance, defense and enforcement of restrictive covenant agreements and other competitive matters. We handle such assignments with the insight that comes from our depth of understanding of these businesses and the regulatory environment they operate in.
Our lawyers include alumni of the SEC and FINRA and include active members of industry organizations including the Securities Industry and Financial Markets Association (SIFMA), Financial Services Institute (FSI). Our practice group includes lawyers in our Orange County, Chicago, Philadelphia, Richmond, and Charlotte offices.