The multidisciplinary attorneys in Bradley’s Securities Broker-Dealer and Investment Advisory Practice Group have decades of experience advising leading financial services clients in a broad array of issues unique to the high-stakes and dynamic securities brokerage and investment advisory industry. We leverage our deep experience to counsel clients on regulatory issues, litigation and arbitration, investigations and enforcement, and employment issues. Our client-focused approach is critical to helping financial services clients not only maintain compliance, protect their operations, and manage their risk, but also develop and grow their businesses.
Bradley’s seasoned team represents broker-dealers, investment advisers, market-making firms, proprietary trading firms, exchanges, hedge funds, banks, and asset managers, which include some of the largest financial institutions in the world.
With hundreds of cases and arbitrations in the team’s combined trial list, clients trust our experience and judgment to guide them to a successful resolution of their most important, complex, and high-profile securities-related disputes. We have served as lead coordinating counsel and lead trial counsel in notable high-stakes securities mass actions and arbitrations. We have decades of experience handling broker-dealer and investment advisor litigation in FINRA arbitrations, and in state and federal court.
Our attorneys have substantial experience representing broker-dealers and registered representatives in FINRA arbitrations with respect to alleged sales practice and supervisory violations. We have defended all manner of customer claims, including fraud, suitability, churning, negligence, breach of contract, breach of fiduciary duty, and failure to supervise, as well as claims alleging violations of federal and state securities statutes, ERISA, and SEC Regulation Best Interest. Our experience covers most every type of investment product, including stocks, bonds, mutual funds, closed-end funds, options, derivatives, structured products, complex products, and alternative investments such as venture capital and private equity funds.
Beyond customer disputes, Bradley has deep experience representing broker-dealers in employment and industry disputes. We have extensive experience in recruiting and raiding cases in the securities industry. We represent our broker-dealer clients in litigation involving claims of tortious interference, breach of contract, breach of fiduciary duty, and misappropriation of trade secrets. We also defend clients in employment-related claims before the Equal Employment Opportunity Commission, in state and federal court, and in arbitration. These cases often involve claims of discrimination, harassment and retaliation. We have extensive experience litigating contractual and other industry disputes with former employees of our broker-dealer clients, and we have led or guided clients through serious and high-profile employment-related internal investigations.
In responding to and managing a regulatory investigation, our team works closely with our clients to help them at every step of the process to bring the matter to a resolution and limit the potential financial, operational, and reputational damage. Our mix of prosecution and defense experience gives our team keen insight into how to take proactive measures to avoid falling outside of compliance, and how to mitigate potential exposure in the event clients do end up the subject of an investigation, enforcement action, or litigation. We defend clients against litigation brought by all state and federal regulatory bodies, including the SEC, DOJ, FINRA, NYSE Regulation, Congress, State Securities Regulators, and state attorneys general.