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.
- Attorney Scott Brunner Co-Authors Article Titled: “Crowdfunding: A New Federal and State Form of Securities Offering”May 23, 2016
- March 16, 2016
- May 22, 2014
- Additional Federal Crowdfunding, Regulation A, and Regulation D Proposals Could Impact State and Federal Securities LandscapeMay 7, 2014
- New Wisconsin Crowdfunding Bill Plays Off of Federal JOBS Act; Certified Investor and Funding Portal Categories CreatedNovember 21, 2013
- March 26, 2013