Charles F. Brega
Tamara A. Hoffbuhr Seelman
Craig N. Johnson
John S. Lutz
Kieran A. Lasater
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Our Financial Services Practice Group represents financial services companies throughout the United States, as well as in the Rocky Mountain Region in litigation, arbitration/mediation and regulatory proceedings.
Financial Services Litigation:We have experience in litigation involving the defense of financial services firms and their officers/directors and registered representatives in the following:
- Individual plaintiff suits against broker dealers and other financial services firms
- Mass action securities litigation
- Class action securities litigation
- Complex and multi-district litigation
Customer/Broker Dealer Industry Arbitration and Mediation:We have experience in securities arbitration and mediation involving the defense of member firms and their officers, directors, and registered representatives in the following:
- Securities fraud
- Breach of fiduciary duty
- Unsuitable trading
- Churning
- Unauthorized trading
- Raiding disputes
Regulatory Defense: We have experience in internal investigations of financial services firms and broker dealers involving:
- Defense of member firms in regulatory investigations both informal and formal by the Securities Exchange Commission (SEC), National Association of Securities Dealers (NASD), now known as the Financial Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and state securities commissioners.
- Defense of member firms in administrative proceedings and hearings brought by the SEC, the NASD/FINRA, the NYSE, and state securities commissioners.
Employment Matters: Please see our Employment page for more information. |