Our lawyers have played a central role in numerous multistate litigations and regulatory investigations involving financial institutions, and their officers, directors and employees.

Drawing on our unique combination of litigation resources and experience, we have successfully handled numerous shareholder class actions, shareholder derivative actions, bankruptcy adversary proceedings and administrative and judicial enforcement actions brought by the various state and federal financial institutions’ regulatory agencies, including state attorneys general, the DOJ, the CFPB, the Federal Reserve Board, FINRA, the FDIC, the OCC and the SEC. Our attorneys also have experience in insurance coverage and disputes, including those relating to directors and officers.

Experience

• Representing financial companies and their officers and directors in class action and individual litigation arising under the federal securities laws, federal commodities laws and regulatory matters involving virtually all traded commodities and the instruments through which they are traded worldwide.
• Advising leading investment funds and fund managers in disputes involving enforcement and default issues in the financial markets, alleged breaches of duty, contentious regulatory issues, investigations and reputation management.
• Defending  asset management funds and fund managers in breach of fiduciary duty and fraudulent conveyance litigation.

Practice Contacts

James L. Bernard

212-806-5684

jbernard@stroock.com

John R. Loftus

310-556-5954

jloftus@stroock.com

Lewis F. Murphy

305-789-9352

lmurphy@stroock.com

• James L. Bernard
• Elizabeth C. Carter
• David M. Cheifetz
• Christine E. Ellice
• Christopher R. Fredrich
• John R. Loftus
• James R. Serritella
• Joshua Sohn
• Quyen T. Truong

• Financial Services Litigation, Regulation and Enforcement