Practice/Industry Group Overview
Wilson Elser’s Securities practice is known nationally for its deep experience with all types of claims brought against financial planners, investment advisers, broker-dealers and registered representatives. This recognition is due in no small part to our core team, comprising some the top lawyers in the field.
Our Securities practice boasts former U.S. Department of Justice and FINRA enforcement attorneys and in-house counsel, in addition to many highly experienced trial attorneys, who fully understand our clients’ desire for efficiency and cost-effectiveness.
Members of the Securities practice frequently counsel and defend financial advisers and brokerage firms in state, FINRA and SEC regulatory and enforcement actions. Our attorneys are also skilled in handling claims involving alternative investments, commodities, investment banking, market making, options and underwriting of new offerings. They regularly represent clients in matters arising under federal and state securities laws, corporate and banking laws and the Employee Retirement Income Security Act (ERISA), such as:
- Federal and state court litigation
- FINRA arbitrations
- U.S. Securities and Exchange Commission and state and FINRA regulatory investigations and enforcement proceedings
- Shareholder derivative litigation
- Public offerings litigation
- Proxy litigation and contests for control
- Disputes between advisers, broker-dealers, and other market professionals and their clients
- ERISA and trust law claims
Our Securities practice boasts former U.S. Department of Justice and FINRA enforcement attorneys and in-house counsel, in addition to many highly experienced trial attorneys, who fully understand our clients’ desire for efficiency and cost-effectiveness. Our team applies those years of experience zealously defending our clients, seeking early resolution of matters whenever possible, and regularly accessing a central bank of briefs, transcripts and research materials to leverage the collective knowledge of our practice members.