Wilson Elser

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.

 At Wilson Elser, we believe that cultivating an environment that embraces and promotes diversity is a foundational value, critical to the success of our firm and central to the integrity and vitality of the legal field. Bringing together people of different backgrounds and beliefs, people with diverse perspectives, fosters the innovative and creative thinking that enhances our response to the needs of our clients. Wilson Elser’s commitment to diversity informs our efforts in recruitment, hiring and training as well as the organizations to which we belong and the programs we sponsor.

We believe in creating a work environment free of barriers and bias, where individual outlooks and talents are respected and valued. Our firm’s policy is to ensure equal employment opportunity without discrimination or harassment based on race, color, national origin, religion, age, sex, disability, citizenship, marital status, sexual orientation or any other characteristic protected by the law. 

Beyond legal compliance, our firm strives to mirror the rich diversity of the communities in which we practice, to respect the diversity of our clients and their workforce and to employ best practices to identify, select, hire, retain and promote qualified individuals without boundaries or limitations, other than those imposed by their own choices and capabilities. This allows us to better represent our clients in today’s diverse, multicultural society. 

Wilson Elser is also committed to promoting diversity through the selection of vendors. We actively seek certified minority- and women-owned businesses and provide them with the opportunity to partner with us to provide services to our firm and our clients.