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Securities & Financial Litigation



We provide our clients with practical advice to resolve financial and securities industry legal issues.

How We Do It

  • Our attorneys counsel clients to ensure regulatory compliance.
  • Our team investigates and resolves issues before they grow into costly enforcement actions and litigation.

WHY We Can Do It

Our Securities & Financial Litigation team has extensive experience with state and federal regulatory bodies, investigations, bench and jury trials, and arbitrations.

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Financial Litigation

Our attorneys represent clients in all aspects of financial litigation, including those involving:

  • creditor’s rights
  • lender liability defense
  • trust and estates
  • intra-firm and broker-dealer/customer FINRA (Financial Industry Regulatory Authority) disputes
  • industry employment
  • shareholders
  • securities and financial industry class action lawsuits

Securities Brokerage Industry

We have extensive experience representing corporations, directors and officers, broker-dealers, investment advisors, and other securities industry professionals in all types of securities litigation and arbitration, as well as regulatory matters involving the SEC and other regulatory bodies. We:

  • handle customer litigation and FINRA arbitrations involving
    • claims of unsuitability
    • selling off
    • churning
    • negligence
    • breach of fiduciary duty
    • fraud
  • defend and prosecute
    • intra-firm breach of non-competition agreements
    • misappropriation of trade secrets
    • recovery of training costs
    • breach of fiduciary duty claims related to registered representative recruitment
  • provide cybersecurity services to help clients protect themselves from and effectively respond to cyber threats.

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We Get Results

HeplerBroom’s Securities and Financial Litigation team has successfully:

  • represented defendants in class actions involving federal and state securities law, including receiving
    • dismissal of three stock drop class action cases against public companies
    • 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 matters
    • SEC Reporting issues


HeplerBroom is pleased to announce that its physical offices have reopened. While the health and safety of our clients, employees, and families, remain our top priority, HeplerBroom attorneys and staff are returning to our offices on full-time or modified schedules. Our offices are open to visitors and clients with scheduled appointments, with appropriate screening of visitors and social-distancing protocols. HeplerBroom will continue to follow CDC recommendations for cleaning and sanitizing.

We are very proud of the dedicated efforts of our attorneys and staff to provide great service and work product to our clients during the pandemic. This would not have been possible without the incredible support provided by the HeplerBroom IT Department and other essential personnel who supported our personnel and clients from the office locations while the rest of our teams worked remotely.

If you have questions about visiting our offices, please do not hesitate to contact us. We look forward to seeing you in person again in the near future.