Securities

Bressler represents a broad cross section of the world's financial services institutions.  We work closely with our clients to implement the chosen strategy through a team selected from our deep bench of battle tested litigators and regulatory lawyers. 

We represent financial institutions, individuals and investment firms before arbitration panels, state and federal courts and regulatory bodies throughout the nation. Our clients include many of the leading national and regional brokerage and clearing firms in the U.S. and abroad.

Our litigators defend brokerage firms and their associated persons in arbitrations and in court cases involving individual claims, as well as complex “product” and other mass actions. We have extensive experience in working closely with our clients to negotiate cost-effective resolutions and, when necessary, taking cases to trial.  Representative subject areas include claims alleging:

  • Misrepresentation and fraud
  • Unsuitability
  • Churning
  • Unauthorized transactions
  • Product failures
  • Selling away
  • Improper mutual fund and variable annuity sales practices
  • Underwriting disclosures
  • Supervision

Our regulatory defense lawyers have broad experience guiding clients through investigations and disciplinary proceedings.  We regularly represent firms and their associated persons in connection with regulatory investigations and hearings before financial services industry regulatory bodies, including: 

  • Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • State attorneys general and securities regulators
  • Commodity Futures Trading Commission (CFTC)
  • National Futures Association (NFA)
  • Registered securities and futures exchanges (CME, ICE)

We advise our clients on a broad range of broker-dealer and securities markets matters.  We frequently counsel broker-dealers, including broker-dealer affiliates of banks, insurance companies, and investment advisers, with regard to a wide array of legal, regulatory and compliance issuesThese assignments include assisting clients with regulatory exams and conducting internal investigations.  We also assist in the formation and registration of broker-dealers, licensing of associated persons, development of and enhancements to policies and procedures, as well as with the full range of intercompany and industry agreements.

Bressler advises investment advisers and their affiliates on the full scope of legal challenges that face this segment of the financial services industry.  We work closely with RIAs on legal and compliance matters, and in counseling them on domestic and international investment issues.  We assist investment advisers affiliated with banks and broker-dealers in structuring their operations to provide a broad range of products and services.  We also help clients with investment adviser registration, licensing and the preparation of agreements.