Meeting the Evolving Needs of the Financial Services Industry
For more than 30 years, KDV has worked to meet the complex needs of the financial services industry. Our firm is comprised of a team of experienced practitioners who collaborate with colleagues throughout the firm’s diverse practice groups to deliver the highest quality services to our clients. We are proud of our premier reputation and know that institutions and individuals operating throughout the financial services industry rely on our firm to provide the counsel and assistance they need to handle their most challenging legal, regulatory and business matters.
The attorneys at KDV have a wealth of experience advising and representing financial institutions, broker-dealers, registered representatives, financial planners, investment advisors and other financial professionals. Our legal team includes both former regulators and in-house lawyers with decades of collective experience advising financial services firms and professionals. We have an intimate understanding of the industry and navigate our clients through the complex and ever-changing framework of rules and regulations that govern its operations. Our attorneys regularly handle matters before regulatory authorities, including the SEC, DOJ, CFTC, FDIC, FINRA and state Attorney Generals’ offices and Insurance Commissioners. We also counsel firms and individuals on compliance matters and assist with internal reviews. Additionally, our legal team represents clients during grand jury investigations and litigates disputes in state and federal courts across the nation.
KDV’s financial services attorneys also assist banks, leasing companies, financial institutions and other entities with a wide array of legal and business matters. Our firm offers clients a broad spectrum of services, including commercial litigation, loan workout and restructuring, judgment enforcement, bankruptcy representation and creditor’s rights. We also advise clients on new commercial loans, including lease transactions, asset-based lending and real estate financing.
|Co-Managing Partner - Chicago Office
Co-Chair, Financial Services Practice Group
- 3rd Circ. Revives Suit Over $2.5M Bond Investment, Law360, ft. Christopher Nucifora - Apr 26, 2018
- 3rd Circ. Revives Suit Over $2.5M Bond Investment, Law360, ft. Christopher Nucifora - Apr 21, 2018
- SEC Proposes New ‘Best Interest’ Rule For Brokers, Investor’s Business Daily, ft. Brendan McGarry - Apr 20, 2018
- Here’s what investors will learn about their brokers, if the SEC gets its way, MarketWatch, ft. Brendan McGarry - Apr 19, 2018
- SEC proposal leaves big gaps in broker, advisor standards, Financial Planning, ft. Brendan McGarry - Apr 19, 2018
- SEC proposal sparks battle on advisor titles, upends fiduciary debate, On Wall Street, ft. Brendan McGarry - Apr 19, 2018
- Ahead of Wednesday Meeting, Stage Set for Fiduciary Jurisdiction Test Between DOL and SEC, Plan Advisor, ft. Brendan McGarry - Apr 18, 2018
- 5th Circuit Ruling Leaves DOL’s Fiduciary Rule in Limbo, SHRM News, ft. Brendan McGarry - Mar 20, 2018
- Confusion Abounds After Fifth Circuit Decision Vacates DOL Fiduciary Rule, PlanSponsor, ft. Brendan McGarry - Mar 16, 2018
- Wells Fargo Advisors now under investigation by Galvin, Investment News, ft. Brendan McGarry - Mar 9, 2018
- State securities regulator says states can enforce DOL fiduciary rule, InvestmentNews, ft. Brendan McGarry - Feb 20, 2018
- No Tolling for Lehman Investor, Supreme Court Rules, Westlaw Journal, ft. Brendan McGarry - Jul 12, 2017
- Press Release: Kaufman Dolowich & Voluck Adds Two Securities Litigators - May 10, 2017