Securities Disputes and Enforcement

Highly regarded for our experience and resolution-oriented approach, RMF’s attorneys in our Securities Disputes and Enforcement Group have a deep understanding of the financial services industry, and the intricacies of the dispute resolution forums provided by its governing bodies. Our multi-disciplinary approach – which leverages the experience of members of our White Collar Crime & Investigations, Commercial Litigation, Corporate & Securities, ADR and Financial Services, Banking and Bankruptcy practice groups – and our partners’ hands on involvement, ensures that each client will receive the most responsive and innovative solutions to their legal needs.

RMF’s attorneys rely on their experience and success in specific securities matters, to advocate for their clients and provide guidance through complex regulatory issues and contentious disputes. RMF’s attorneys have represented clients in a number of securities disputes and enforcement actions including, but not limited to:

  • Board related litigation demands
  • Books and records demands
  • Customer disputes
  • Distressed broker dealer wind downs and bankruptcy filings
  • FINRA examinations (including OTRs) and investigations
  • Government investigations
  • Industry disputes
  • Insider trading claims
  • Insider trading policies and advice
  • Internal investigations
  • SEC enforcement actions and investigations, including with respect to insider trading  and misleading disclosures in public documents
  • Stock appraisal actions
  • Structured finance litigation


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