Financial Institutions

financial institutions

Financial institutions face myriad regulatory, shareholder, and customer issues. Whether it be an internal investigation, responding to regulator inquiries, or litigation, our lawyers have experience advising and defending financial institutions.

Our lawyers have defended financial institutions against a wide variety of claims, including allegations of aiding and abetting fraudulent schemes perpetrated by customers, aiding in a fraudulent investment scheme resulting in tens of millions of dollars in investor losses, securities fraud in the life settlement industry involving tens of millions of dollars of alleged investor losses, and the defense of whistleblower claims under Sarbanes Oxley and Dodd­Frank.

We have experience representing brokers, financial advisors, and financial institutions in arbitrations. We take the time to understand the unique issues each financial institution client faces, and this allows us to effectively navigate the discovery process and present their position to a fact-finder.

Our attorneys also have conducted internal investigations and represented clients in investigations initiated by self-regulatory organizations and federal and state agencies concerning issues such as sales practices and regulatory matters. We also advise financial institutions on a wide range of issues, including regulatory compliance, executive compensation, and general corporate governance.