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Securities / Finance

BSP 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, Wells Fargo Advisors, and FDIC

Attorneys Specializing In This Area

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