Securities & Financial Services
These cases can present a difficult challenge and a significant threat to a company’s existence, as well as to the individual officers, managers and directors who are responsible for the financial well-being of the company. American corporations are also facing increased regulatory compliance issues, many of which may lead to litigation.
Barger & Wolen LLP has proven experience in defending securities-related allegations and litigation with aggressive, creative and cost-effective strategies. Our attorneys have considerable experience in jury and bench trials in federal and state courts, at the trial and appellate levels, as well as NASD arbitration forums. Two of our attorneys are NASD arbitrators, and bring their unique experience to bear on their litigation practice.
While we often help our clients avoid disputes without court intervention, if litigation is necessary, we vigorously represent our clients. Even then, we strive for early discovery and motion practice to position the case for a quick resolution. Our philosophy helps to contain litigation costs. Our experience and easy access to the expertise of others in the firm allows us to defend successfully against the unique challenges posed by securities litigation.
Areas of Expertise
- Securities fraud and other securities violations
- Broker-dealer and agent transactions
- Securities class actions
- Internal investigations
- SEC and regulatory enforcement matters
- Counseling broker-dealers on administrative and regulatory matters
- Suitability and "selling away"