industries

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.