FINANCIAL INSTITUTIONS AND BROKER DEALERS

Represents financial institutions and broker-dealers in all types of litigation, including breaches of promissory notes, consumer protection claims, corporate trust litigation, breaches of fiduciary duties, fraud, suitability, and failures to supervise.

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 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, and 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.
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