Financial Services / Securities Litigation and Arbitration

Parker MacIntyre brings to the table a considerable arsenal of litigation and arbitration resources. A number of our attorneys have devoted over 20 years of their individual legal careers to litigation in the securities and financial services arenas. We have extensive experience litigating cases before state and federal courts, as well as state and federal regulatory tribunals. In fact, our attorneys have nearly 100 combined years of securities litigation, arbitration and administrative experience.

Parker MacIntyre defends and prosecutes arbitrations and legal actions on behalf of our financial services clients, including both businesses and individuals. Frequent areas of dispute in which Parker MacIntyre has provided assistance include noncompetition/raiding cases, arbitration proceedings involving claims of unsuitable recommendations, selling-away, unauthorized trading, fraud or other securities law violations, promissory note cases, defamation claims, claims of breach of employment contracts, expungements, and other similar actions.

Our attorneys have handled over one hundred FINRA (formerly NASD) arbitrations, and are intimately familiar with FINRA’s rules of arbitration procedure. Our attorneys have also served as FINRA arbitrators; so, we know the process from both sides of the table.

Our distinct advantage as a law firm litigating securities matters is a melding of both raw litigation capabilities and deep securities industry subject matter knowledge. While our attorneys, like many others, can certainly boast of courtroom successes, what sets Parker MacIntyre apart is the firm’s deep knowledge base of securities regulation tracking back decades. Parker MacIntyre attorneys have worked as securities regulators and also as in-house compliance attorneys with securities firms. We know the securities industry inside and out because we have all spent the majority of our careers counselling securities firms, working for securities firms, serving as securities regulators, and lecturing on securities law topics in various legal and academic forums. We keep abreast of rule changes that impact the potential liabilities of firms and representatives, and routinely publish our perspectives.

Moreover, while our knowledge base dates back decades, we are just as familiar with cutting-edge legal issues such as the securities law ramifications of the growing digital/crypto asset marketplace. Indeed, Parker MacIntyre has already litigated cases dealing with allegations of securities law violations involving initial coin offering (“ICO”) sponsors.

Parker Macintyre attorneys have also served as a court-appointed receivers, and as counsel for receivers in multi-million dollar Ponzi scheme cases brought by the Securities and Exchange Commission. Firm attorneys also represent brokerage firms in cases in state and federal courts, including cases involving claims by customers and interpleader cases dealing with disputes regarding the ownership of account funds.

Additionally, Parker MacIntyre has extensive experience defending investment advisers, broker/dealers and other investment industry player in all sorts of enforcement actions, from matters involving compliance deficiencies to allegations of securities fraud. Indeed, three of our current attorneys are former state securities division directors, while another is a former assistant attorney general who prosecuted securities law violations. And all of our attorneys—at every level—have significant experience in dealing with both federal and state regulators and regulatory matters.