Experienced Representation for Financial Services Firms and Professionals
The attorneys at KDV have extensive experience representing financial institutions, broker-dealers, registered representatives, investment advisors, certified financial planners and other financial professionals. Our Financial Services Practice Group includes former regulators and in-house lawyers who have devoted decades of their careers to defending and advising members of the financial services industry. We closely follow changes in the legal, regulatory and business environment. Our attorneys are well positioned in major financial centers to represent firms and individuals in regulatory inquiries, customer disputes, and intra-industry disputes.
Our firm’s attorneys have represented financial firms and financial professionals in a wide range of cases pending in FINRA Dispute Resolution and in state and federal courts. We have also successfully represented firms and individuals during grand jury investigations and regulatory inquiries and counseled clients regarding compliance issues and internal compliance reviews.
We are proud of the fact that KDV attorneys are widely recognized throughout the financial services industry as a team of trusted and skilled legal advisors, resolving a wide range of legal and regulatory matters, including:
- Compliance Reviews. We understand that the laws and regulations governing the financial services industry are complex and constantly changing, as the move toward fiduciary duties in brokerage accounts exemplifies. Our financial services attorneys routinely assist clients in conducting internal compliance reviews and provide seminars and training programs to help our clients develop best practices.
- Corporate Governance. The attorneys in our Financial Services Practice counsel boards of directors, officers, audit committees, compensation committees, and special committees regarding their statutory and fiduciary duties in financial market settings.
- Defense of Investment Professionals in Civil Court Actions. KDV attorneys have a wealth of experience defending investment professionals in civil court actions. Recognizing that these cases tend to be highly disruptive and have the potential to destroy our clients’ business and professional reputations, we work to resolve these disputes as quickly and favorably as possible.
- FINRA/AAA Arbitrations. KDV’s financial services lawyers represent FINRA members and registered representatives in FINRA arbitrations encompassing a diverse range of customer and intra-industry disputes. We also represent investment advisors in AAA arbitrations and work to resolve a wide array of customer and intra-industry disputes.
- Regulatory Defense and Counseling. KDV’s legal team counsels and defends financial institutions and individuals during inquiries initiated by regulatory authorities, including the SEC, FINRA, FDIC, CFTC and State Attorneys General and Insurance Commissioners. Our lawyers also assist clients in responding to Rule 8210 requests and government subpoenas and have significant experience representing firms and individuals in connection with on-the-record interviews and grand jury investigations.
- Shareholder Litigation. The attorneys in our Financial Services Practice represent corporations in the financial industry in a broad range of shareholder actions alleging violations of the federal securities laws and related common law claims, including common law fraud, negligent misrepresentation, and breach of fiduciary duty.
Financial Services' Leaders
|Attorney||New York, New York|
|Co-Managing Partner - Florida Offices
Co-Chair, Financial Services Practice Group
|Fort Lauderdale, Florida , Boca Raton, Florida|
|Co-Chair, Professional Liability/E&O Practice Group||San Francisco, California|
|Co-Managing Partner – Chicago Office
Co-Chair, Financial Services Practice Group
|Of Counsel||Boca Raton, Florida|
|Partner||New York, New York|
|Of Counsel||San Francisco, California|
|Partner||Los Angeles, California|
|Partner||Hackensack, New Jersey|
- State securities regulator says states can enforce DOL fiduciary rule, InvestmentNews, ft. Brendan McGarry - Feb 20, 2018
- Broker Protocol FAQ: Who’s out, who’s next and what advisors may lose, Financial Planning, ft. Nancy Hendrickson - Nov 30, 2017
- Press Release: Kaufman Dolowich & Voluck Adds Two Securities Litigators - May 10, 2017
- Trump’s Move On DOL Fiduciary Rule: A Game Changer For Advisors? InsuranceNewsNet, ft. Brendan McGarry - Feb 13, 2017
- CFP Board, other fiduciary advocates prep for fight to save DoL rule, Financial Planning, ft. Brendan McGarry - Feb 2, 2017
- Regulation Reversal the Ultimate Trump Card? Insurance News Net, ft. Brendan McGarry - Jan 20, 2017