iS_4358563.jpgOver the past fifteen years we have developed a strong securities and financial services team representing national financial services firms, banks, broker-dealers and hedge funds. Some of the securities and financial related matters our firm has handled are discussed below.

FINRA, Brokerage and Financial Advisory Services Representation

  • Defend national bank and financial services affiliate in connection with Investment Advisors Act and Blue Sky claims.
  • Defend FINRA claims alleging fraud, breach of fiduciary duty, churning, unsuitability and violations of the "know your customer" rule.
  • Defend FINRA claims alleging elder abuse and fraud.
  • Negotiated settlement for national bank in connection with individual investor who claimed that financial advisor defrauded investor into purchasing financial product.
  • Defended brokerage client in dismissing Connecticut state court action in favor of arbitration, where claims were dismissed with prejudice following hearing against an especially litigious claimant (an attorney) who asserted, among other things, that our client acted negligently in handling the sale and transfer of securities that had lost value at the time of sale.
  • Defend national bank and its financial services affiliate against New Jersey Uniform Securities Law claims.

Hedge Fund and Broker-Dealer Representation

  • Represented hedge fund client in complex litigation in Connecticut federal court and in Connecticut and New York state court against global financial services firm and its broker-dealer subsidiary. Secured highly favorable settlement in lawsuit alleging misappropriations by the broker-dealer in which the court independently appointed a big four accounting firm to provide expert analysis due to complexity of the transactions. Prosecuted hedge fund manager and broker-dealer in connection with sale of partial ownership of the hedge fund in a multi-day arbitration evidentiary hearing and defended two multi-day state court bench trials arising out of sale of hedge fund business and investor's claim to recover his investment in hedge fund. 
  • Secured favorable settlement for a hedge fund client and its manager in national, multi-million dollar action involving three hedge funds, hedge fund manager and broker dealer arising out of complex sale of trade claims.
  • Counseled a hedge fund client in SEC inquiry, including subpoena responses that resulted in no further action from the SEC.
  • Counseled a hedge fund client in criminal investigation by New York district attorney that resulted in no charges against hedge fund.
  • Counsel a hedge fund client in settlement of claims asserted by British Virgin Islands based fund seeking redemption.
  • Counseled broker-dealer client in connection with its contemplated acquisition of rival broker-dealer subject to FINRA investigation, net capital and registration requirements.
  • Successfully defended hedge fund client and its manager in connection with claims that institutional investor was fraudulently induced to invest in hedge fund.
  • Successfully defended hedge fund client and its manager in connection with claims that hedge fund and its CFO engaged in fraud to deprive institutional investor of its redemption from hedge fund.
  • Successfully defended hedge fund client and its manager in shareholder's derivative suit alleging mismanagement of corporate entity owned by hedge fund.
  • Successfully defended hedge fund client and its manager in suit alleging misappropriation of corporate assets.
  • Represented hedge fund client in purchase of assets from European based investment entity.
  • Represented hedge fund client in negotiation of settlement agreement in connection with institutional investor's redemption claim against hedge fund.
  • Counseled hedge fund client in its prosecution of multi-million dollar claw-back claims against individual investors.


Investment Banking Related Representation

  • Represented investment bank in performing due diligence and preparation and review of all documents required in PIPE deals, mezzanine financing, multi-tranche equity financing, private and public placement memoranda, bridge financing, and hedge fund placement agreements.