Civil Litigation, Securities & Regulatory

Attorneys in our Civil Litigation, Securities and Regulatory practice are adept at achieving efficient solutions for clients regardless of whether the matter requires out of court resolution or effective advocacy during the trial or on appeal.

We represent both plaintiffs and defendants and are especially skilled in handling high-profile matters, whether for high-net worth individuals, businesses or financial institutions.  With particular strengths in the financial services arena, we represent broker-dealers, hedge funds and investment advisers.  Lawyers in the practice group regularly appear before FINRA on regulatory matters or as plaintiffs or defense counsel in FINRA arbitration matters.  Our work in this respect ranges from commencing actions against former officers of a broker dealer on behalf of the firm to defending individual brokers against FINRA investigations and enforcement actions, as well as counseling financial institutions proactively on regulatory issues.

We have handled a wide range of matters before the U.S. Securities and Exchange Commission, including high profile insider trading actions.  We have experience responding to Wells Notices, defending against SEC complaints and settling matters brought by the SEC.  We have also represented senior bank officers in highly complex, multi-agency and joint task force global investigations, including individuals under investigation as part of the rate fixing probe in the global foreign exchange market.

We have also prosecuted civil complaints in federal court and have extensive motion practice experience before the Federal bar.  Further, we have served as special litigation counsel in bankruptcy matters representing debtors, as well as trustees and chief restructuring officers, and their financial services industry subsidiaries in both Chapter 11 and Chapter 7 cases.