With prior experience at some the most prestigious law firms and investment banks in the world, DWH Legal is regularly sought as counsel to tackle complex legal and factual issues or to provide aggressive and cost-effective representation. Whether we are appearing on behalf of our clients before a judge, jury, arbitrator or regulatory body, we focus on preparation, advocacy, and a relentless drive to win.
DWH Legal attorneys regularly appear in state and federal courts nationwide, in addition to handling arbitrations, mediations and regulatory proceedings throughout the United States.
- Represented broker-dealers, registered representatives, investment advisers, and individual investors in over 100 FINRA customer and industry arbitrations, many of which involved contested hearings.
- Routinely represent registered representatives in FINRA enforcement matters, most of which stem from customer and/or employment related CRD disclosures.
- Defended numerous RIAs and associated registered representatives in FINRA arbitrations involving allegations of raiding and breaches of restrictive covenants.
- Routinely provide counsel to registered representatives on firm transition matters, including counseling on the Protocol for Broker Recruiting (the “Protocol”) and on transitioning to/from firms that are not Protocol members.
- Routinely provide counsel to financial services firms and registered representatives relating to Form U4/U5 disclosures.
- Represented CEOs, CFOs and other employees of public companies in numerous SEC investigations involving allegations of false and misleading disclosures and press releases.
- Obtained six figure settlement for individual investor in securities fraud claim against a publically traded company based on alleged false and misleading press releases.
- Obtained six figure Award in CBOT arbitration on behalf of a partner in a CBOT member trading firm based on breaches of his partnership agreement.
- Represented professionals holding the Certified Financial Planner certification in disciplinary matters pending before the CFP Board.
- Routinely advise on legal risks associated with complex investment products such as variable annuities, leveraged ETFs and structured products.
- Represented national broker-dealer in numerous employment and promissory note FINRA arbitration hearings.
- Served as counsel to numerous privately held companies on various corporate governance, shareholder and employment matters.
- Represented numerous registered representatives in FINRA investigations into alleged market manipulation.