Securities

The Securities litigation and compliance practice group guides members of the securities industry through the fast-paced and ever-changing landscape of securities regulation, arbitration, regulatory enforcement, litigation, and appeals. The team regularly represents broker dealers, registered investment advisers, issuers and their principals, and other financial professionals in FINRA and AAA arbitrations, federal and state courts, and SEC, other federal agency and state agency investigations and enforcement actions throughout the country. Additionally, our members represent and counsel individuals, businesses, accountants and accounting firms, attorneys and law firms, officers and directors, and financial institutions in pre-suit crisis avoidance, defending complex civil litigation and federal and state agency investigations and enforcement actions.

Our team also acts as outside counsel providing general counsel and advice, assisting with corporate documentation and related matters, conducting internal and external investigations, advising on regulatory compliance, and acting as a liaison to State and Federal governmental regulatory authorities.

GRSM has well-proven experience with the complete range of regulatory and market issues facing full-service, discount, and on-line broker-dealers, as well as broker–dealer affiliates of insurance companies, hedge funds, banks, and other diversified financial services companies that offer investment management, brokerage and financial related services. The group also has a strong track record in handling associated parallel proceedings, government investigations and enforcement, concurrent private claims, class actions and multi-jurisdiction cases, and criminal investigations. The group’s trial expertise also includes complex sales practices and consumer fraud actions for life, health and disability insurance products, which involves similar legal theories and issues.