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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 LLC COVID-19 Response

HeplerBroom has been diligently working on its response and continuity plan to the COVID-19 pandemic in order to keep the health and safety of our employees, their families, and our clients as our top priority.

To help ensure everyone's continued health and well-being, effective March 17, 2020, all attorneys and staff began working remotely. We continue to assess the situation and will return to our physical offices when appropriate.

To ensure this, the firm has identified essential personnel in each office who will make certain that critical firm functions that cannot be done remotely continue to be handled. We have put in place protocol for those essential personnel to make sure they are keeping healthy per the CDC cleaning and sanitizing recommendations. All teams have back-up personnel and procedures that we will follow to make sure all deadlines are met and clients receive the same great service and work product that we have always been proud to provide.

HeplerBroom's IT department has been working hard to make sure all remote employees are set up with equipment and access from home to limit disruption to our clients. Maintaining security and confidentiality has remained, and will continue to remain, at the forefront of all processes and procedures, at all levels throughout the firm.

The firm has created emergency communication measures to communicate any changes to this plan to employees and are communicating on a regular basis with any and all new resources and helpful information during this uncertain time.

During these fluid and unpredictable times, HeplerBroom will continue its commitment to great service and results for our clients, all while keeping safe and healthy.

Wishing you and your families good health.

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