Our attorneys have handled hundreds of matters in the financial markets area, whether it be litigating securities matters, arbitrating FINRA disputes, or resolving disputes involving other financial products.
When devising a litigation strategy, it’s important for financial institutions to have a law firm just as dedicated to the success of its client’s business as to pursuing proper legal recourse. We understand the complexity of securities markets and work closely with our clients to analyze current and long-term effects of the financial matter at issue on our client’s business. From there, we offer advice focused on protecting your business now and into the future.
We represent plaintiffs and defendants across Minnesota and the United States in financial markets litigation, including banks, investment managers, brokers and dealers, and other financial institutions. Examples include:
- Obtained $5.5 million FINRA arbitration award against wealth management firm following losses client sustained due to firm’s mismanagement and negligence.
- Achieved favorable settlement for Employee Stock Ownership Plan (ESOP) and ESOP-owned company in case involving claims arising under ERISA, the Minnesota Business Corporation Act, and common law in connection with claim that they had substantially overpaid for $30 million in stock.
- Recovered $8 million for the beneficiaries of a defrauded ESOP in Minnesota federal court.
- On behalf of a St. Paul based company and its ESOP, defeated an attempt by a minority shareholder to obtain a $9 million buy-out, which would have harmed the ESOP beneficiaries.