Industry Group

Securities & Financial Services

Noted financial institutions count on us—some for more than 20 years—for critical legal advice across a full range of issues. Whether you or your firm are navigating compliance or regulatory issues, dealing with day-to-day business issues, or facing pending or threatened litigation or arbitration, Greensfelder provides the legal know-how to steer you in the right direction.

Our team includes attorneys with business, accounting, and significant securities-industry backgrounds which enhances our ability to understand your legal needs. Greensfelder is trusted by banks and other depository institutions, trust companies, broker-dealers, investment advisors, financial planners, and other financial services firms to handle complex disputes, compliance matters, as well as to give day-to-day counseling. We use our legal and financial acumen to offer sophisticated solutions and responsive service all aimed at giving your institution the highest value in legal services.

Our extensive experience includes:

  • Class-action defense involving mutual fund disclosures, product failures, alleged fraudulent investments and wage-and-hour issues.
  • Regulatory litigation, compliance counseling, and negotiation with state, federal and industry regulators.
  • Representing firms in national litigation and arbitration covering wide-ranging products and subject matters including failure to supervise, unsuitability, churning, insider trading, fraud, elder abuse, trust/power of attorney issues, and breach of fiduciary duty.
  • Providing advice regarding Dodd-Frank compliance matters.
  • Providing advice regarding securities laws, including counseling on compliance with public company reporting obligations, regulatory compliance and reporting, and dual registration issues.
  • Advising/litigating all aspects of troubled loans, including workouts, modification, forbearance agreements, default loan litigation, and foreclosures.
  • Advising/litigating with respect to prohibited practices and fiduciary obligations under ERISA, the Internal Revenue Code, and state pension statutes.
  • Advising/Litigating on matters that concern your firm’s employment relationships including whistle blower issues, broker defection and transition matters, raiding, retaliation, and discrimination cases.
  • Assisting in identifying, collecting, reviewing, and producing documents, including ESI, in response to regulatory requests, in both litigation and arbitration.
  • Compliance counseling for privacy, security and data protection requirements.
  • Investment advisor and investment company entity-formation, registration and compliance counseling.

Attorneys / Securities & Financial Services

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