PVF’s attorneys are experienced and tenacious, demonstrating over and over again an unwavering commitment to providing superior and personalized representation. From all aspects of the most complex financial industry litigation and arbitrations, to interfacing directly with FINRA, the SEC, and other regulatory bodies on behalf of our clients, to customized assistance in connection with FINRA-related counseling matters, our expertise supports any FINRA related matter.
PVF regularly represents securities firms, banks, broker-dealers, investment companies, registered representatives, financial advisors and entrepreneurs, as well as other financial institutions, issuers and their employees, in an expansive array of matters with, governed by, and/or jurisdictionally venued before FINRA, the SEC, and state securities regulators and attorneys general.
Litigation/Arbitration
PVF’s attorneys are skilled advocates with a proven record of success at trial. We have extensive experience handling litigation and arbitrations (before FINRA, the SEC and other state securities regulators) throughout the United States in disputes involving a multitude of claims and issues. Our areas of focus include:
- Securities Fraud
- Common Law Fraud and Negligent Misrepresentation
- Shareholder Derivative Litigation
- Disputes Resulting from Transitioning Financial Advisors, Including Claims Involving:
- The Protocol for Broker Recruiting
- Misappropriation of Proprietary and Trade Secret Information/Material
- Restrictive Covenants
- Unfair Competition
- Breach of Contract, Breach of Promissory Note, and Other Contractual Interference Claims
- Breach of Fiduciary Duty and Other Employment, and Post-Employment, Related Claims
- Conversion
- Financial Products Disputes
- Suitability, Unauthorized Transactions, and Other Broker/Customer Disputes
- Raiding and Pirating
- Indemnification and Contribution
- Motions to Compel and/or Enjoin Arbitration
- Wells Actions and Other Disciplinary Matters
Counseling/Best Practices
We provide experienced guidance relative to risk avoidance and counsel our clients on best practices so that they may proactively implement preventative measures to manage and limit potential litigation and regulatory interference, focusing on:
- Administrative Proceedings Involving All Aspects of Broker-Dealer Practices
- Corporate Governance
- Defamation Arising from Form U-4 and Form U-5 Reports
- Executive Compensation
- FINRA Rule 8210 Reviews and Other Regulatory Examination
- Navigation of FA Employment Transitions Under All Applicable Laws, Regulations and Rules
- Regulatory Compliance and Internal Investigations by FINRA and/or the SEC
- The Protocol for Broker Recruiting
Client Collaboration
We are at our best handling complex matters that require innovation, ingenuity and experience. In this vein, we often interface directly with FINRA and SEC attorneys and examiners on behalf of our clients regarding sensitive matters involving, among other things:
- Disciplinary Hearings
- Expungement Negotiations
- Form U-4 Disclosure Issues
- Regulatory Investigations
We believe in the importance of partnership and our focus therefore is on understanding each client’s needs, providing clear direction, and achieving results – efficiently and effectively.
