Practice Areas & Industries: Wilson Elser Moskowitz Edelman & Dicker LLP

 





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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.


 
 
Articles Authored by Lawyers at this office:

Duty to Settle Absent a Demand? California Court Says No
Patrick M. Kelly,D. Victoria LaBrie,James A. Stankowski, November 19, 2013
The California Court of Appeal in Reid v. Mercury Insurance Company [(2013) 220 Cal.App.4th 262 (rehearing denied November 6, 2013)] found no California authority “standing for the proposition that there is a duty to settle when there is a claim that is vastly in excess of the policy limits...

Court Confirms the Limited Duty of an Insurance Broker to Procure Only Coverage Requested by the Insured
John R. Clifford,Edward P. Garson,Ian A. Stewart, November 11, 2013
Recently, in San Diego Assemblers v. Work Comp for Less Insurance Services, Inc. (October 4, 2013, CA Court of Appeal, Fourth Appellate District), the court upheld the granting of summary judgment on behalf of a broker on the grounds that it breached no legal duty to its client. The court rejected...

Recent Court Decisions Concerning Unclaimed Life Insurance Benefits Can Assist Insurers in Defending Regulatory Audits and Future Litigation
William T. Bogaert,Sandy M. Smith, November 11, 2013
Perhaps the most significant litigation, regulatory and compliance issues facing life insurance companies can be found in the unclaimed property audits, multi-state regulatory settlements and class action lawsuits surrounding unclaimed life insurance benefits. With the assistance of third-party...

California Appellate Court Expands Rights to Homeowners in Construction Defect Cases beyond Remedies Provided in the California Right to Repair Act
John R. Clifford,Edward P. Garson,Ian A. Stewart, September 23, 2013
On August 28, 2013, the California Appellate Court (Fourth District) issued its ruling in the case of Liberty Mutual Insurance Company v. Brookfield Crystal Cove LLC (Case No. GO46731). Liberty Mutual filed suit against Brookfield to recover relocation expenses that it paid on behalf of its insured...