Rothgerber Johnson & Lyons Securities Regulation, Litigation and Arbitration attorneys bring together many of the firm’s practice areas, including complex litigation and class action defense, arbitration, regulatory defense, regulation and compliance. These practice areas, combined with our experience with the unique issues, laws and regulations impacting participants in the securities and financial services industries; result in our representation of a wide variety of clients, including major wirehouse firms, independent contractor firms, state and federal registered investment advisers, investment bankers, hedge funds, private equity funds, mutual funds, financial planners, money managers and individual representatives both effectively and efficiently.
Our attorneys have represented securities clients in matters regarding customer claims brought in arbitration and litigation involving suitability, excessive trading, fraud, violations of state and federal securities laws and consumer protection statutes. These matters have involved a wide variety of product types including stocks, government, corporate and municipal bonds, open- and closed-end mutual funds, limited partnership and limited liability company interests, exotic securities, variable and fixed annuities and other insurance products.
Our attorneys also represent securities clients in arbitration and litigation matters involving disputes with and between broker-dealers. These matters include employment, and raiding and recruiting issues; as well as contractual issues, acquisitions, selling agreements and non-compete and non-solicitation agreements. The firm also represents individuals and corporations in class actions asserting claims under the federal securities laws and ERISA.
We have attorneys with experience in the following areas:
- Litigation, Arbitration and Mediation
- Class Action and Major Liability Defense
- Fraud Defense
- Broker-Dealer Employment Disputes
- "Raiding" and Recruitment
- Employment and Termination Issues
- Non-Compete and Non-Solicitation Agreements
- Contractual Issues
- Privacy and USA PATRIOT Act Issues
- Federal, State and SRO Regulatory Compliance and Defense
- Sarbanes-Oxley and PCAOB Compliance and Defense
- Investment Advisers and Representatives Compliance and Defense
ARTICLES AND ALERTS
RJ&L Investment Adviser Advisory - New Form ADV Part 2 (08/09/2010 )
RJ&L Investment Adviser Advisory (08/03/2010 )
Ponzi Schemes and "Selling Away" (07/24/2009 )
Don't Get Left Behind: A Time-Saving Guide to Keeping Up With FINRA Rule Changes (07/24/2009 )
Selling Away: Time to Do Away With the Presumption of Guilt (07/24/2009 )
Has the Protocol for Broker Recruiting Become the de facto Industry Standard? (07/24/2009 )
Variable Annuities: New Rule Coming! (03/01/2007 )
Expungement: Don't Let the Tail Wag the Dog (09/01/2006 )
Do We Really Have to Do This? Some Observations on Dealing with the Sarbanes-Oxley Act (03/01/2003 )
NEWS
Twelve RJ&L Attorneys Named to "Best Lawyers in America®" (09/30/2008)
Chambers USA Names Rothgerber Johnson & Lyons LLP and 4 of its Attorneys as "Leaders in Their Field" - Commercial Litigation Practice Awarded National "Rank 1" Honor (06/15/2007)
NEWSLETTERS
Securities Update, Summer 2009 (07/24/2009 )