Securities Industry Cases
RLG’s industry neutrality sets it apart from other law firms handling securities and insurance cases because RLG’s founder, Brandon S. Reif, has the rarest combination of securities and insurance industry knowledge, trial practice skills and a reputation for delivering favorable results on both sides of the securities industry that are unmatched in the industry.
RLG’s unbiased approach to securities industry work as pro-plaintiff and pro-defendant (or neutrality) is Mr. Reif’s forward-thinking business model as the “mercenary of law firms.” RLG is not beholden to insurance carriers, financial institutions, investment sponsors or private equity. Mr. Reif believes that proven results is more important to the firm’s reputation than the notion that law firms must choose defense work or plaintiff work. To this end, RLG does not align with a particular side of the securities industry.
Investors regularly hire RLG for its unparalleled experience to reverse engineer the defense thinking and the considerations that the defense and their insurers use to set settlement and exposure reserves. RLG leverages its unmatched know-how to pressure the defense and their insurers.
The securities industry regularly hires RLG for best-in-class independent (Cumis) counsel to defend the case, to defend the ex-employee, to pressure the product sponsor or to battle with the insurance carrier.
RLG is a natural choice for intra-industry disputes such as:
- Workplace dissolutions including wrongful termination, discrimination, harassment and the like
- Form U-5 expungement and defamation
- Raiding and Broker Protocol
- Trade secrets, copyrights and trademarks
- Partnership and limited liability company dissolutions
- Compensation including wages and deferred compensation
- Business-sensitive and complex disputes:
- Selling away, Ponzi schemes and undisclosed activities
- Involving executives, in-house counsel and compliance officers
- Disputes with affiliates, subsidiaries and associated entities
- Insurers and insurance agencies
- Product sponsors, asset managers and property managers
- Vendors including software, landlord, consultants and the like
Investigations, Enforcement and Disciplinary Actions
RLG regularly defends securities professionals and securities firms facing investigations, examinations, hearings and disciplinary actions by FINRA, the SEC and other self-regulatory organizations as well as state and federal securities regulators especially the California Department of Business Oversight and the California Department of Insurance.
RLG handles all aspects of FINRA and SEC investigations and disciplinary actions. The hallmark of our practice is to engage proactively with the regulators to dispose of matters before they become a matter of public record. RLG’s greatest success stories in the regulatory arena cannot be discussed or promoted because we made a persuasive showing of fact, law and/or public policy to convince the regulators to close the investigations without adverse action. It is these silent victories that truly define RLG’s extensive experience and well-earned reputation when it comes to defending regulatory investigations and disciplinary actions.
RLG provides unmatched representation across a variety of enforcement actions including:
- Responding to FINRA 8210 inquiries for documents, information and on-the-record testimony (OTRs)
- Reconstituting the securities firm’s compliance and supervisory program to demonstrate mitigation and the reduced risk of recidivism
- Responding to Wells notices
- Analyzing the risks and rewards of a regulatory settlement, including the reputational risk of the public record
- Mounting the defense for an enforcement action in federal court or the administrative hearing
Contact Our Experienced SoCal Securities Industry Attorneys Today!
To arrange a consultation with an aggressive and experienced securities and corporate law attorney at RLG, please contact our office today on our contact page or at (310) 494-6500.