Financial Services

(Compliance, Counseling & Litigation)

Pietragallo’s Financial Services practice counsels and represents financial institutions, insurance companies and brokers, broker-dealers, and accounting and actuarial firms on compliance, fiduciary, litigation and regulatory issues confronting the financial services industry today.

 We also counsel public and private corporations, boards of directors, corporate officers, and investment funds in securities litigation and compliance matters. We have assisted clients in creating and implementing corporate and regulatory compliance programs, including Sarbanes-Oxley matters and Corporate Code of Conduct and Ethics programs.

 

Our attorneys have worked with financial services clients in connection with pre-transaction due diligence and risk assessment, regulatory audits, and broker and sales agent disputes.  We also assist clients in risk mitigation and compliance issues through in-house training seminars.

 

Pietragallo’s professionals have extensive knowledge of the financial services sectors in which our clients operate, giving us valuable insight when evaluating, negotiating or defending claims and other actions.  Our attorneys have represented clients at the trial and appellate levels of both state and federal courts, as well as before regulatory boards and the U.S. Tax Court.

 

Finally, Pietragallo’s interdisciplinary approach allows us to work in conjunction with the attorneys of our bankruptcy and white collar crime practices, as appropriate, to address matters comprehensively, efficiently and cost effectively.

 

Matters representative of Pietragallo’s Financial Services practice include:

 

·        Accounting liability

·        Actuarial liability

·        D&O liability

·        Fidelity bonding

·        Corporate governance

·        Corporate control disputes

·        Broker disputes

·        Securities class actions

·        Shareholder derivative actions

·        Financial institution fraud/investigations

·        SEC investigations

·        Board of directors investigations

·        Audit committee representation

·        NASD compliance and representation

·        Tax dispute/litigation

·        Breach of bank loan agreements

·        Due diligence and risk assessment