Securities & Financial Litigation

We provide practical advice to resolve the broad array of financial and securities industry legal issues facing public and private corporations, directors and officers, broker-dealers, investment advisors and wealth managers, and other securities industry professionals in all types of securities litigation and arbitration proceedings, as well as regulatory matters involving the SEC and other regulatory bodies.


Our team supports industry professionals, C-suite members, directors and officers, as well as both public and private institutions and regional securities brokerage firms in a vast array of financial product and securities, stock-drop securities, and class action matters. 

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Our services and knowledge are vast, and include:

  • defense of state and federal securities industry arbitrations and disputes with customers and regulators, fraud, omission, and marketing claims; arbitration proceedings conducted through the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authority (FINRA), as well as state and federal courts when arbitration is not required.
  • representation of public companies in all aspects of financial and securities litigation, including creditor’s rights, lender liability defense and consumer banking disputes; trust and probate litigation, intra-firm and broker-dealer/customer Financial Industry  
    Regulatory Authority (FINRA) disputes, including customer litigation and BI (formerly suitability/know your customer claims), selling off, churning, negligence, and breach of fiduciary duty; industry protocol and other employment and non-compete disputes, closely held shareholder litigation, and securities and financial industry class action lawsuits.
  • defense and prosecution of intra-firm breach of non-competition agreements, misappropriation of trade secrets, recovery of training costs, and breach of fiduciary duty/claims related to registered representative recruitment
  • cybersecurity services to help clients protect themselves from and effectively respond to cyber threats

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Case Results

HeplerBroom’s Securities and Financial Litigation team has successfully:

  • represented defendants in class actions involving federal and state securities law, including dismissal of three stock-drop class action cases against public companies
  • secured denial of a temporary restraining order for a putative class seeking to block the merger of two public companies
  • defended executives and directors of both public and private companies in derivative shareholder litigation
  • represented companies and individual defendants in investigative and enforcement actions before the SEC and state securities commissions
  • defended directors, officers, and controlling shareholders in challenges to mergers and acquisitions, including going-private transactions
  • represented a major broker dealer in industry arbitration on employee raiding
  • conducted internal investigations on:
    • financial reporting
    • insider trading
    • fraud
    • False Claims Act matters
    • SEC reporting issues



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