Securities and Investments Professional Liability
Our Securities and Investments Professional Liability Practice Group services a broad client base, including, but not limited to:
- Registered representatives
- Financial planners
- Registered Investment Advisors
- Hedge fund and mutual funds and administrators
- Financial services outsourcing solution providers
- Private trust companies
- Insurance brokers/agents
We also handle:
- Fiduciary liability matters
- Corporate directors and officers
- Employment practice liability matters
In addition to professional liability matters in state and federal courts, we defend RIAs, brokers and broker-dealers before self-regulatory organizations, state agencies and the SEC. We handle securities arbitration claims before FINRA, AAA and other SROs.
Founded in 1962, Marshall Dennehey is one of the largest law firms in the country devoted exclusively to civil defense litigation. We have 500 attorneys in 19 offices strategically located in Philadelphia, Pittsburgh, Tampa, Orlando, Jacksonville, Ft. Lauderdale and communities throughout Pennsylvania, New Jersey, Delaware, Connecticut, Ohio, Florida and New York.
Clients realize a number of benefits from our extensive network of offices: travel time is sharply reduced and the attorneys working out of these offices and living in these respective areas are intimately familiar with the local practice and enjoy a good rapport with the judges before whom they frequently appear.
Recognizing the need for a cost-effective approach to the defense of professionals and organizations, we are dedicated to providing our clients with quality, timely and economical service. We are on the cutting-edge in developing innovative and alternative billing practices.
We welcome the opportunity to work with you in handling your securities matters. We are also available to conduct presentations, as well as training or compliance seminars at your location or at one of our offices.