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Experienced Financial Services Lawyers for Financial Services Firms and Professionals

Each financial services lawyer 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. Each financial services lawyer closely follows 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:

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 financial services 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.

We represent firms and individual professionals in responding to government subpoenas and Rule 8210 requests as well as On the Record (OTR) interviews and grand jury proceedings. Similar investigations may be initited by state insurance regulators or licensing agencies.

When a broker or firm receives a FINRA Rule 8210 letter requesting information or indicating that they may be the subject of a FINRA investigation, or a “Wells Notice” advising that the SEC or FINRA is contemplating bringing an enforcement proceeding for a violation of the securities laws and regulations, or any similar request or subpoena from a regulator, our legal team takes decisive action to help clients prepare a proper response. Although such requests are often very broad in scope, the time frames to comply with them are usually short. We perform a thorough review of the matter, advising our clients on how to best cooperate and minimize their exposure to potential disciplinary proceedings and sanctions. We can initiate an iterative process of communication with the regulator, providing information as it becomes available and clarifying or limiting the scope of the records being sought, with the goal of establishing that the OTR interview can be avoided, or if it does proceed that no adverse findings are imposed.

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.

Corporation 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.

KDV counsels boards of directors, officers, audit committees, compensation committees, and special committees regarding their statutory and fiduciary duties in varied situations, including mergers and acquisitions, asset acquisitions and divestitures, recapitalizations, shareholder disputes and ensuring corporate compliance with relevant laws and regulations.

Our attorneys are members of the industry associations and have published and presented seminars on topics in the corporate governance arena.

Other Claims Handled by a Financial Services Lawyer at Our Firm 

  • 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.
  • 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.
Practice Group Leadership
ATTORNEY NAMEPOSITIONOFFICE
Attorney Chicago, Illinois
Co-Managing Partner, New York City Office New York, New York
Co-Managing Partner - Florida Offices
Co-Chair of Financial Services Practice Group
Fort Lauderdale, Florida , Orlando, Florida , Tampa, Florida
Of Counsel Woodbury, New York
Attorney Orlando, Florida
Of Counsel New York, New York
Partner
Co-Chair of Professional Liability Practice Group
San Francisco, California
Co-Managing Partner – Chicago Office
and Chair of Fidelity & Surety Practice Group
Chicago, Illinois
Partner
Diversity & Inclusion Committee Member
Co-Chair, Data Privacy & Cybersecurity Practice Group
Fort Lauderdale, Florida , Tampa, Florida
Partner New York, New York
Attorney Chicago, Illinois
Of Counsel Fort Lauderdale, Florida
Partner
Co-Chair of Financial Services Practice Group
Chicago, Illinois
Partner Chicago, Illinois
Attorney Chicago, Illinois
Partner New York, New York
Partner Chicago, Illinois
Partner New York, New York
Partner
Chair of Insurance Regulatory & Transactional Practice Group
Fort Lauderdale, Florida , Washington, D.C.,
Partner Phoenix, Arizona
Partner Chicago, Illinois
Attorney Fort Lauderdale, Florida
Partner
Co-Chair of Professional Liability Practice Group
Hackensack, New Jersey
Attorney New York, New York
Of Counsel New York, New York
Partner Chicago, Illinois
Super Lawyers Martindale Hubbel AV Preeminent Law 360