Overview
Butzel's securities litigation team understands the complexities of regulated and unregulated securities and bank products, and we represent financial institutions when these things become involved in high-stakes litigation. We understand intricate, financial structures, we assess risk, and we guide clients to effective resolutions to their matters.
Our team represents broker-dealer firms, hedge funds, investment advisory firms, investment banks, mutual funds, other registered funds, and their directors, officers, and executives in securities-related regulatory matters. We guide clients through investigations and proceedings brought by FINRA, the SEC, and regulatory agencies created under the 1933 and 1934 Acts, the Investment Company Act of 1940, the Investment Advisors Act of 1940, the Commodity Exchange Act, and state securities laws. Our attorneys routinely litigate complex commercial and securities-related matters in state and federal courts, and we handle securities arbitration matters for brokerage firms and registered representatives. We have extensive experience in class action securities litigation, shareholder derivative litigation, and civil and criminal litigation involving allegations of fraud and misrepresentation, accounting irregularities, improper disclosure, breach of fiduciary duty, criminal investigations, and internal investigations.
