Financial Services Litigation

GDCR’s attorneys have decades of experience working with clients ranging from some of the nation’s largest broker-dealers to individual financial advisors across the nation.  Our attorneys’ focus on the financial-services industry allows us to quickly analyze the issues you or your firm are facing and respond promptly to anticipated risks, disputes, litigation and/or regulatory matters.

Our clients include financial firms, including broker-dealers, registered investment advisors, banks and insurance companies, ranging from the largest wire houses to newly formed startups, and individuals, including people employed in all aspects of the financial service industry and customers.

Our litigators have a national reputation for representing firms and individuals in financial services recruitment matters and have appeared in courts and before arbitration panels in over thirty states and internationally on such matters.  GDCR’s attorneys have successfully advised thousands of advisors on their transition between firms, helped national and regional brokerage firms grow their broker-dealer teams by advising recruits on regulatory compliance and risk reduction.

Our attorneys have extensive experience in:

  • Financial services transitions and recruiting, including raiding claims;
  • Trade secrets and restrictive covenants;
  • U5 defamation;
  • Defense of customer complaints and expungement of information from U5s;
  • Promissory note disputes;
  • Disputes regarding deferred and other earned compensation.

Recent and Notable Decisions:
Regulatory Defense:

GDCR’s attorneys recognize the importance and stress caused by any involvement with federal or state securities regulators.  Our clients can draw on our experience with federal and state securities laws to defend themselves in securities enforcement actions or inquiries brought by the SEC, FINRA or state regulators.  We will quickly and thoroughly analyze your case and work closely with you to prepare a response to the regulators and shepherd you or your firm through this complex process.