BSP Law attorneys have successfully represented broker-dealers, private equity firms and principals, investment advisors, and other financial institutions in venues ranging from FINRA arbitration to state and federal courts. We have handled disputes including securities litigation; negligent supervision and breach of fiduciary duty; churning, misrepresentation, and suitability; employee raiding and confidentiality; fraud and misrepresentation claims; embezzlement and kickbacks; lender misconduct; and mortgage and foreclosure disputes.

Representative Matters

• Counsel for investment banking firm in industry arbitration with former partner involving misappropriation and self-dealing claims.
• Represented an investment advisory firm against derivative liability claims arising from financial advisor’s embezzlement.
• Represented a private equity firm in the defense of multiple securities, fiduciary duty, fraud, and negligence claims asserted by various investors seeking nearly $50 million in total damages.
• Lead counsel for defendant broker-dealer in multi-million dollar action alleging breach of fiduciary duty, negligence, and conversion based on accusations of financial advisor’s misconduct.
• Lead counsel for investment bank and broker-dealer in a FINRA arbitration involving trade secret, partnership, and contractual issues.
• Counseled a clearing broker in the defense of numerous claims arising out of an introducing broker’s unauthorized trading scheme.
• Defended the CEO of a closely held financial-services company through trial and appeal in litigation involving claims of shareholder oppression, breach of contract, and breach of fiduciary duty.
• Lead counsel for engineering firm in multi-party action involving a complex kickback scheme.
• Represented numerous financial advisors for top broker-dealer in providing deposition and hearing testimony.
• Defended financial advisor group against raiding claim by former affiliated broker dealer in arbitration involving extensive forensic investigation.

Representative Clients

• KeyBank
• FDIC