Rogers & Hardin brings nearly four decades of experience working with major wire houses in litigation and arbitration representations, spanning virtually every significant component of the securities research, marketing and transaction process. From early insider trading, suitability and churning cases to more recent matters involving complex derivative transactions and auction rate securities, our depth of experience brings skill and efficiency to every engagement. Our decades of experience enable us to quickly grasp the nuances that frequently prove instrumental to a successful defense strategy. We are often tapped to serve as National counsel for large financial institutions, handling large numbers of related cases that may be pending in various courts or before a variety of arbitration panels across the country. By managing these cases in a consistent and coordinated manner, we help clients discretely avoid adverse collateral consequences. These representations have earned our team a reputation as a top-tier practioner.
Recently, we served among a handful of counsel selected as lead trial attorneys for thousands of arbitrations arising from billions of dollars in research-related claims. Other recent representation includes:
- Large customer arbitration claims before FINRA and its predecessor entities;
- Court cases involving challenges to or enforcement of arbitration agreements;
- Bankruptcy proceedings arising in connection with securities accounts or claims;
- Internal investigations in connection with large-scale sales practice issues or firm procedures;
- Employment-related disputes and claims brought by former agents or employees of a firm;
- Regulatory investigations and proceedings – including successful settlements and trials on the merits of regulatory complaints.