Securities & Wealth Management Litigation & Arbitration

The securities and wealth management industry is highly regulated by a mixture of rules emanating both from government agencies, such as the U.S. Securities and Exchange Commission (SEC), to self-regulating organizations, such as the Financial Industry Regulatory Authority (FINRA).

Wealth Management Litigation

Our attorneys are experienced in counseling registered persons, broker-dealers, registered investment advisers (RIAs), and other financial institutions in a wide array of legal, regulatory and compliance issues; we also frequently represent firms and registered persons in securities arbitrations and investigations.

Arbitration

The firm's attorneys have represented clients in arbitration proceedings and regulatory investigations by bodies such as FINRA, the SEC, U.S. Department of Justice (DOJ), and state attorneys general and securities regulators. Our attorneys also have extensive experience defending clients in securities litigation, including class and derivative actions.

As a firm, our attorneys routinely counsel securities professionals, financial advisers and financial institutions in compliance matters — to minimize risk — and zealously advocate for client interests once disputes begin, whether with regulators, customers, shareholders or other industry professionals.

Securities Litigation

Our attorneys understand how to navigate the unique procedural rules of securities arbitrations and litigation, and have considerable experience in handling internal and regulatory-driven investigations into potential or alleged violations.

Some of the matters our attorneys have experience with as both claimants' and defendants' counsel include:

  • Churning cases
  • Expungement of CRD/Form U5 disclosures
  • Promissory note cases
  • SEC, FINRA, DOJ subpoenas/investigations
  • Raiding
  • Selling away
  • Drafting Form ADV and other compliance materials
  • Drafting SEC filings

Representative Matters

  • Routinely represent international brokerage firm in FINRA arbitrations, subpoenas, and state and federal litigation across the country, including matters in Kentucky, Ohio, Tennessee, South Carolina, Florida, California, New York, and Puerto Rico.
  • Successfully represented individual in FINRA arbitration with broker-dealer concerning termination and Form U5 issues.
  • Represented individual in successful settlement of claims with broker-dealer, 18-month FINRA investigation, and investigation by Tennessee securities regulators and state department of insurance.
  • Advise RIAs in examination issues and draft Form ADV updates and other compliance documents.
  • Successfully represented former Hertz CFO in dismissing putative securities class action in New Jersey federal court.
  • File and quickly resolve interpleader actions in state and federal court on behalf of brokerage firms and other financial institutions.
  • Successfully removed Puerto Rican state court action over brokerage accounts to federal court in South Carolina and defeated claims against financial institution.

Contact Us

We counsel and represent clients with securities and wealth management issues in Metro Louisville and throughout the nation. To speak with one of our lawyers, call our office at 502-416-1630.