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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