Financial Services and Insurance
We bring critical financial, business, valuation and industry expertise to litigations, investigations and business negotiations for clients in financial services and insurance.
We represent a full range of businesses and individuals across the financial services and insurance industries and value chain: investment firms, hedge funds, broker-dealers, lenders, leasing businesses, investors, senior executives, traders and producers, partners, insureds and insurance companies.
This is a core part of our business and we represent clients in financial services and insurance every day in the courtroom and in employment and business deals.
Among many other matters, a few of our representative matters are and clients:
Winning a $61 million FINRA arbitration award for a hedge fund against a major international bank relating to the settlement of a complex hedge fund based derivative.
A major mortgage servicer in claims seeking indemnification under mortgage servicing purchase agreements.
McGraw-Hill in a significant dispute against its carrier regarding coverage for series of copyright infringement claims.
The Chief Investment Officer of a $300 Billion insurer in an SEC investigation.
The US CEO of an international brokerage firm in an SEC investigation and civil action in New York charging violations of the Investment Advisors Act.
The lead investor for a $50 million seed investment into a start up hedge fund.
Senior executives, traders and producers in negotiating employment agreements, severance agreements, and in navigating moves to new firms.
Investment partners in setting up investment funds, and in disputes with their partners
The founder of a joint venture with a Fortune 500 company in an action that hinged on the valuation of the joint venture.
Over 600 Wells Fargo financial advisors in a class-action against Wells Fargo
A leading financial consulting firm in a series of cases to enforce its restrictive covenants against former employees.
A family office in an arbitration relating to the purchases of preferred securities of Lehman Bros and of auction rate securities.
Leading financial advisors, and hedge fund in cases arising out of mutual fund market timing.
Numerous clients, including investors, financial advisors and firms before FINRA, and in FINRA arbitrations.
An airplane leasing company in a dispute with a major airline over the termination of a lease.