Alise Johnson Henry


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Alise Johnson  Henry
Alise Johnson  Henry

“When people ask me what I do for a living, I tell them I solve problems.  At its heart, attorneys are tasked with solving a client’s issue, without creating additional issues.”

Alise Johnson Henry joined Bressler after having previously worked at UBS Financial Services as Associate General Counsel.  Prior to UBS, Alise was Senior Trial Counsel for the Securities and Exchange Commission, where she represented the SEC before federal and administrative courts.  She also served as Associate Counsel in the Miami office of Akerman LLP, where she represented employers in employment disputes and practiced commercial litigation.

Alise’s in-house experience has helped her to take a business approach to resolving cases, including advising clients as to mitigation of risk and encouraging market based solutions to issues.  In her multiple in-house positions with an international brokerage firm, Alise learned from the inside how firms operate, which assists her greatly in advising corporate clients.

Alise offers clients vast experience in state and federal court representation and in arbitrations before the Financial Industry Regulatory Authority (FINRA).  She is also experienced with regulatory proceedings and investigations by FINRA, the SEC and state regulatory authorities. She has served as a FINRA arbitrator.

In addition to her far reaching capabilities in the financial services industry, Alise advises various business entities and municipalities in commercial, constitutional and employment matters. She has appeared as a guest on the CNBC Television Program "American Greed."

While in law school, Alise served as the Florida Law Review Articles Editor.  Following law school, Alise clerked for U.S. Chief Magistrate Judge William Turnoff of the U.S. District Court for the Southern District of Florida.  

Alise volunteers for many non-profit groups and has twice been awarded the “Points of Light Volunteer Service Award” by the President of the United States for her volunteer work in the South Florida Community.  She has also served on the Board of Directors for the Junior League of Miami and mentored foster children.  Alise is also a frequent lecturer at the University of Miami law school on securities issues.

Alise enjoys reading, travel and volunteering in her community.

  • Successfully defended brokerage firms and financial advisors in multiple arbitrations alleging sales practice violations
  • Successfully defended brokerage firm and financial advisors in arbitrations alleging sales practice violations in the sales of variable annuities
  • Successfully won orders compelling cases wrongfully brought in federal and state court actions into arbitration
  • Successfully received expungements in multiple actions for financial advisors of meritless claims from their Central Registration Depository records
  • Successfully obtained Preliminary Injunction against Viatical Company in a fraud action, where, on appeal, Alise was successful in obtaining the first federal appellate decision finding Viatical settlements are securities under the Securities Act
  • Successfully defended a national restaurant chain against employment claims alleging discrimination

A selection of reported decisions include:

  • Berti v. UBS Fin. Servs., 2012 U.S. Dist. LEXIS 156865 (Nov. 1, 2012)
  • SEC v. Mutual Benefits Corp., 2004 U.S. Dist. Lexis 23008 (Nov. 10, 2004)
  • Edwards v. Wells Fargo Guard Service, 141 F.Supp. 2d 1340 (M.D. Fla. 2001)
  • Martindale-Hubbell AV® Preeminent Rating
  • Recipient of the “Points of Light Volunteer Service Award,” President of the United States, 2009, 2012
  • Recipient of the Leadership Award, Junior League of Miami