Financial Services Litigation
Broker-Dealer Representation (FINRA)
VAB attorneys handle FINRA matters on a daily basis, including arbitrations of industry and customer disputes and appeals of FINRA awards for our national broker-dealer clients. We have successfully represented broker-dealers in proceedings involving:
Form U5 expungements, including those with claims for defamation, false light, wrongful termination, and/or tortious interference with contract or business opportunity;
fraud, misrepresentation, and/or failure to disclose;
breach of fiduciary duty;
unsuitability;
failure to supervise/negligent supervision;
unauthorized trading and churning; and
Form U4 expungements.
While our attorneys generally serve as counsel for respondents, we have also represented our clients in actions to enforce promissory notes and employment agreements, including non-solicitation and non-competes.
VAB attorneys frequently provide general advice for in-house counsel on a variety of topics, including new regulations rule amendments, and enforcement priorities, as well as compliance with existing FINRA regulations and guidance.
VAB also assists clients with FINRA examinations and investigations, as detailed on our Investigations and Compliance practice area page here: Internal Investigations & Compliance
VAB understands our business clients. They expect responsiveness, attention to detail, and a strategy for a successful resolution. Whether a bet-the-company case or a small claims matter, VAB litigators pick up the gauntlet and litigate skillfully while keeping their focus on our clients’ goals.
Creditor’s Rights
VAB represents financial entities, including banks, credit unions, fintech companies, and other businesses, protecting our clients’ interests in state and federal court collection litigation and in post-judgment proceedings, including citations to discover assets, third-party citations, wage garnishments, and other enforcement tools designed to identify, secure, and apply non-exempt assets to satisfy the judgment.
VAB attorneys have substantial experience representing financial entities across the full range of bankruptcy matters affecting creditors, from contested lien priority and enforcement disputes to complex adversary proceedings and thorough claim objections .
VAB regularly prosecutes commercial mortgage foreclosures, pursues breach of note and guaranty claims, and litigates replevin actions to recover collateral and protect secured interests. In addition to litigation, the firm advises on and handles a variety of financial services transactions for financial institutions: Financial Services Litigation
