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Although Lawrence Kamin’s experience representing clients in financial services matters predates passage of the federal securities laws during the New Deal, the last decade has seen an explosion of litigation, led by governmental and regulatory agencies and private investors. Our financial services industry clients look to us to protect their rights, interests and reputations and to design strategies to avoid liability and prevent future lawsuits.
Our diversified practice groups and experienced attorneys enable us to aggressively represent financial services clients in a broad spectrum of litigation, ranging from brokers and underwriters in nationwide class actions, to FCM’s and traders in industry arbitrations and to dealers and registered representatives in customer disputes.
For example, when defending securities arbitrations, we strive to not only understand the facts of a given case, but also to learn the details of our client’s operations and procedures. We examine a claimant’s factual and legal assertions and theories of recovery, and conduct targeted discovery to candidly analyze risk of liability and loss and realistically advise clients on strategies and alternative resolutions. Our disciplined approach to customer disputes has resulted in remarkable success for our clients, including numerous pre-hearing dismissals, settlements and respondents’ verdicts. It also assists clients to design and implement strategies and procedures that reduce risk.
Similarly, we represented an FCM in its dispute with a trader who had violated Chicago Board of Trade rule and had exposed the firm to extraordinary risk. Although the trader’s actions resulted in a profit, they extended beyond his trading limits and risked the FCM’s capital. In the Board of Trade arbitration that followed, we helped the FCM establish its entitlement to the profits from this improper trading scheme.
Whether defending a financial securities client against class action claims or obtaining and enforcing judgments for money damages, we attempt to design and implement a strategy that will effectively and economically accomplish client goals, and allow them to focus on their financial services business rather than the business of litigation.
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