Representing Financial Institutions In Litigation

Companies within the financial services industry must contend with a challenging regulatory environment and other legal issues. When disputes arise, it is vital to work with legal counsel that fully understands the issues in play.

Our attorneys represent banks, investment funds, broker-dealers and others. Our experience includes:

  • Claims arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Commodity Exchange Act
  • Litigation involving the Truth in Lending Act
  • Disputes between customers and brokers
  • Allegations of securities fraud
  • Disputes surrounding banking and trading practices
  • Representation in litigation arising from regulatory compliance investigations

Our firm represents financial services institutions in arbitration before the New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD) and in arbitration connected to Securities and Exchange Commission (SEC), NYSE, NASD, Commodity Futures Trading Commission (CFTC) and New York Mercantile Exchange (NYMEX) investigations.

For more information about our financial industry services, call 212-661-5030 or contact us online.