Aug 19, 2021
Parker Hudson's securities litigation/arbitration/regulatory team is widely recognized for its experience, knowledge of the securities industry, client service, and winning results in high stakes securities litigation, arbitration, and regulatory defense on behalf of our securities brokerage clients. With over 75 years of combined experience, well over 400 trials in court and arbitration, and numerous regulatory successes, our clients trust our experience and judgment to guide them to a successful resolution of their most important, complex, and high profile securities related disputes.
Our clients turn to us because of our creative approach to developing winning strategies, our commitment to understanding the securities industry and each client’s unique business, our hands on approach and attention to detail, our winning trial results, and our credibility in courtrooms, before arbitrators, and with regulators across the country. Our securities attorneys are highly experienced representing securities broker-dealers, investment advisors, and individual investment professionals in state and federal courts, in FINRA arbitrations, and in regulatory inquiries, investigations, and enforcement actions involving all manner of securities-related claims. Our team handles disputes involving every kind of investment product, including stocks, bonds, options, open and closed end mutual funds, exchange traded funds, limited partnerships and other direct investments, alternative investments, and structured products.
The Parker Hudson securities litigation team also represents broker/dealer clients in mass actions involving in some cases thousands of separate cases stemming from the collapse of a single security or a class of securities or other investment products. The team also represents corporate clients in derivative actions, and we routinely represent our corporate clients, as well as their directors and officers, in claims alleging breaches of fiduciary duty related to corporate control, approval of corporate transactions, stock option backdating issues, and corporate waste.
Securities litigation and arbitration often arise from or trigger separate scrutiny from regulators, including the SEC, FINRA, and state securities commissioners. Our team represents clients in responding to the full gamut of regulatory inquiries, examinations, investigations, and enforcement actions. We have the experience, judgment, relationships with regulators, and professional approach to guide our clients through the challenges and uncertainty of any regulatory matter.
What we offer:
- Thorough understanding of the securities industry and the unique businesses of our broker/dealer clients
- Deep and current knowledge of the securities regulatory landscape
- A deep first chair trial team that has tried hundreds of cases over 30+ years, with a strong track record of success
- Compelling value delivered through lean staffing – typically one experienced partner, one associate, and one legal assistant – and active management by an experienced first chair partner, all with fee arrangements that provide more value to the client
- Ability to distill complex facts into simple points of persuasion and to develop creative strategies to win
- Well-recognized excellent quality of client service defined by a strong work ethic, attention to detail, and timely responses to your most urgent or critical needs
- Credibility among judges, juries, and arbitration panels
- Judgment borne of first chair trial experience enabling us to provide reliable case evaluation and risk assessment
- Currently serves as lead counsel in responding to a deficiency letter issued by the Atlanta office of the Securities Exchange Commission.
- Represented a financial advisor in defense of an enforcement proceeding brought by FINRA's Enforcement Department. As a result of the firm's efforts, the client received only a cautionary action letter, which is one of FINRA's least serious enforcement penalties.