Financial institutions encounter frequently changing regulations and heightened scrutiny, which often requires the engagement of outside law firms. Washington Law Partners can add value with effective counsel, whether your institution seeks legal advice for financing transactions, compliance activities, or litigation matters. Our attorneys have the experience in the financial service industry to resolve your issues cost-effectively.
Washington Law Partners attorneys have a long history of providing legal services to national and regional financial institutions on transactional, enforcement, and litigation matters. Our experience covers the financial services industry gamut, from structuring, negotiating, and closing various financial transactions to representing financial institutions in enforcement proceedings.
Our industry and client feedback demonstrates the strength of our relationships in the financial service industry.
Our team regularly advises clients in reviews and investigations by many federal and state enforcement agencies. We have a long history of helping clients navigate supervision and investigation by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Association (FINRA), and various state attorneys general.
The scope of Washington Law Partners’ clients includes those from the financial services industry, from the nation’s largest banks to small regional banks. Our team has advised on matters such as:
- Federal and state investigations
- Securities fraud and other securities violations
- Insider trading
- Money laundering
- Compliance and enforcement
- Foreign Corrupt Practices Act (FCPA)
- Theft and embezzlement
- Responding to subpoenas
We have represented brokerage firms and investment advisors in regulating actions brought by the SEC and FINRA.
We also litigate and defend customer claims against broker-dealers and registered representatives. Several of these matters involved claims of unsuitability, churning, breach of fiduciary duty, fraud, and misrepresentation, particularly before FINRA Dispute Resolution.
If you believe there is a likelihood you need a securities attorney, contact Harold G. Ognelodh at 202-670-3958 or our office to schedule an initial consultation session.