Securities Litigation Broker Dealers

Our Securities Litigation Broker Dealers team bring together lawyers from many of the firm's practice areas, including complex litigation and class action defense, arbitration, regulatory defense, regulation, and compliance. Our broad and unique experience, expertise, and insight come from decades in the industry on both the brokerage and regulatory side. Given that background, our specialized representation gives clients an edge in dealing with the issues, laws, regulations, and trends impacting participants in the securities and financial services industries. We provide effective and efficient representation to a wide variety of clients, from major wirehouse firms and national and regional independent contractor firms, to state and federal registered investment advisers, investment bankers, hedge funds, private equity funds, mutual funds, financial planners, money managers, and individual representatives.

Few law firms in the Southwest and Mountain West have represented more broker-dealers than Lewis Roca. We have handled hundreds of customer disputes alleging inappropriate investment and trading strategies against broker-dealers in arbitration and in court. Our litigators also regularly represent broker-dealers in other matters, such as restraining orders in broker raiding cases involving non-competition and non-solicitation contracts, and in regulatory and disciplinary matters before state and federal regulators as well as self-regulatory organizations, as well as in defense of allegations of underwriting misrepresentation, in wage disputes and in EEOC discrimination claims. We have successfully defended prominent national banks against multimillion-dollar claims of securities and common law fraud, public company directors and officers against claims asserted in shareholder derivative actions and by regulators, and investment advisers accused of an array of regulatory and fiduciary duty violations, in regulatory as well as private actions.

We have lawyers with experience in the following areas: 

• Litigation, arbitration and mediation
• Class action and major liability defense
• Defense of fraud and other investor abuse complaints
• Broker-dealer employment disputes
• "Raiding" and recruitment
• Employment and termination issues
• Non-compete and non-solicitation agreements
• Contractual issues
• Privacy and USA PATRIOT Act issues
• Federal, state, and SRO regulatory compliance, investigations, and defense
• Sarbanes-Oxley and PCAOB Compliance and Defense
• All aspects of federal and state broker-dealer, investment adviser and hedge fund regulation, compliance and defense
• Commodity Exchange Ace and Model State Commodity Code compliance and defense
• Dodd-Frank and JOBS Act issues and compliance