Securities Litigation & Arbitration

HBA’s securities litigators have extensive private practice and in-house experience that provides them with the business acumen and market knowledge to effectively represent financial services businesses and other market participants in matters of securities law, both in federal and state courts in New York and California, and before regulatory authorities and alternative dispute resolution forums.  HBA attorneys represent middle market clients, along with leading financial services firms, such as Morgan Stanley Smith Barney LLC, Charles Schwab & Co., Inc., Angelo, Gordon & Co., L.P., and Fisher Investments.

Securities Arbitration and Litigation 

HBA attorneys represent financial services businesses and their individual employees in securities arbitrations and litigations.  HBA attorneys regularly appear in federal and state courts and before FINRA, the SEC, JAMS, the American Arbitration Association, and the National Futures Association, as well as handling broker-dealer employment cases before FINRA.

Regulatory Investigations and Proceedings

HBA attorneys have in-house and private practice experience representing clients before the SEC, state securities commissions, FINRA, and other self-regulatory organizations. We regularly assist clients with complex regulatory matters and we believe in working closely with our clients in order to frame the issues and bring about a successful resolution.

Internal Investigations

HBA regularly assists clients with internal investigations of potential violations of internal policies and/or regulatory laws.  Our team recognizes the sensitivity of internal investigations and believes that working closely with each client to determine a business-focused approach and appropriate strategy are important initial steps when handing these matters.

Compliance Counseling

HBA attorneys work with middle market clients to evaluate, implement and monitor successful compliance programs.  We also work with national financial services businesses to provide continuous compliance consulting, all the while recognizing the importance of providing compliance advice that recognizes the business environment.