Financial Services Litigation

The Financial Services Litigation Practice serves clients ranging from the largest global financial services firms to local, mid-sized broker-dealers and private hedge fund managers. These clients benefit from the industry knowledge and trial skills of our litigators in Chicago, New York, Los Angeles, Charlotte and Washington, D.C., who have aggressively and successfully litigated numerous complex, high-stakes matters.

Katten’s financial services litigators understand the full range of financial services and products—from exchange-traded securities, options, futures and commodities, to the most complex over-the-counter swaps and derivatives—and are deeply familiar with the compliance and supervisory regimes, capital structures and real-world business interests of the industry. Building on the regulatory, transactional and compliance experience of the firm’s Financial Services Practice, the Financial Services Litigation Practice is uniquely suited to craft and execute a litigation strategy that effectively manages all of the financial and legal implications of any dispute. Most importantly, our superior industry knowledge produces results: Katten wins cases.

Breadth and Depth of Experience

Our attorneys, who include former federal prosecutors and regulators, have extensive experience concerning:

• internal investigations;
• regulatory and enforcement matters;
• class action, derivative claims and complex litigation;
• customer and competitor litigation;
• employment disputes; and
• intellectual property litigation and protection.

Our experience extends to:

• investigations relating to front-running, market manipulation, insider trading, selling away, improper order internalization, sales practices, pricing of illiquid securities and other violations of law and regulations;
• inquiries from regulatory and self-regulatory bodies, parallel enforcement, criminal and/or civil proceedings, Wells Notice responses, appearances before business conduct committees and contested administrative hearings and trials;
• representation in arbitration and litigation relating to merger and acquisition activity and customer and competitor complaints; and
• enforcement and defense against enforcement of restrictive covenants and predatory hiring practices.

Professionals