Rock Hutchinson business litigation and counsel
Rock Hutchinson business litigation and counsel
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Business Litigation And Counsel

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Experienced Representation For Financial Institutions, Broker-Dealers, and Financial Advisors

The attorneys at Rock Hutchinson, PLLP, represent a wide range of financial institutions and broker-dealers on complex regulatory matters as well as litigation. They draw on decades of experience that give them a deep understanding of the regulatory landscape as well as practical insight into effective strategies for litigation and compliance.

The firm’s lawyers represent financial institutions and broker-dealers in both state and federal courts as well as alternative dispute resolution such as arbitration. They skillfully represent clients in all types of commercial litigation, including:

  • Breaches of promissory notes
  • Consumer protection claims
  • Corporate trust litigation
  • Breaches of fiduciary duties
  • Fraud claims
  • Suitability claims
  • Class action claims
  • Failures to supervise

Lawyers at the firm also provide guidance on compliance issues involving federal securities and banking regulations, serving as general counsel for business clients in the financial sector.

Representative Financial Institutions And Broker-Dealer Litigation Experience

  • Won seven-figure summary judgment plus attorneys’ fees for lenders claiming breaches of multiple promissory notes. Summary judgment involved defeating allegations of breaches of good faith and fair dealing, setoff and frustration of purpose.
  • Won pre-discovery summary judgment in federal court on behalf of ATM owner in class action litigation.
  • Won complete defense award in private arbitration on behalf of an SEC-registered investment advisory firm. Following a four-day hearing, the arbitrator issued an award that denied and dismissed all of claimant’s causes of action, which included fraud, breach of fiduciary duty, negligence and breach of contract.
  • Negotiated an early $0 settlement on behalf of a local bank in an ADA lawsuit.
  • Successfully defended broker and broker-dealer against seven-figure claims of unsuitability and fraud. After winning a partial motion to dismiss and defending the clients at the arbitration hearing, the panel awarded less than 6% of claimants’ requested monetary relief.
  • Defended financial institutions in class actions involving claims under state and federal law, including the Electronic Funds Transfer Act, ADA, the Sherman Act and other antitrust laws as well as other statutory claims.
  • Won complete defense award in FINRA arbitration involving claims of negligence and breach of contract.
  • Represented financial institutions in consumer protection claims; interchange rate payment disputes and mortgage priority litigation brought by other lenders.
  • Represented the country’s largest banks as third parties in matters involving corporate trust issues and securitized assets.
  • Represented the country’s largest banks in responding to subpoenas for documents or testimony from the third-party client.