Securities

The highly regulated securities and financial industry presents a potential host of complex problems.  Securities firms, banks, asset management companies, and investment advisors often find themselves facing audits, investigations, and other time-sensitive compliance issues.     

At Meissner Tierney we advise on and litigate the gamut of securities matters.  For instance, we regularly handle:

  • Broker-dealer and investment advisor litigation and arbitration
  • Securities class actions
  • Regulatory and compliance matters, including subpoenas, investigations, formal complaints, and enforcement actions
  • Advising corporations and their boards and executives on matters related to fiduciary duties, indemnification, governance, disclosure, and internal investigations
  • Assisting individuals and entities in establishing broker-dealers, hedge funds, investment advisors and other financial service providers
  • Insurance coverage

Our coordinated team approach provides clients the full range of skills, from expert representation in civil proceedings to an understanding of the SEC and other federal and state regulators, necessary to achieve the desired result for each situation.   

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