Financial Services Litigation

Larson • King has in-depth experience in representing financial firms on a wide variety of specialized legal matters. We represent insurance companies, investment firms, broker-dealers and mutual funds in many aspects of their business operations, including litigation, employment and compliance matters. Our experience includes arbitration and litigation on behalf of clients involving claims of unauthorized trading, unsuitability, churning, negligent supervision, breach of fiduciary duty, failure to diversify, and misrepresentation in the promotion of investments.

Examples of our experience include:

  • Represent multi-billion dollar financial institutions in recovery actions for mortgage-backed securities.
  • Recovered millions of dollars for major financial institution in action involving misappropriation of trade secrets and client information.
  • Representation of national and regional broker-dealers and individual representatives and agents in investor claims relating to investments in securities, life and annuity products (including STOLI transactions),  private placements, and real estate investments/1031 exchanges.

Our experience in financial services law includes litigation related to claims of fraud, conversion and money laundering arising from investment decisions, and the handling of investment accounts. Larson • King attorneys have litigated claims under both state and federal securities laws, including the Securities Exchange Act of 1934 and Rule 10b-5 fraud claims. In addition to representing financial firms in legal disputes related to their operations, we also provide financial clients with counsel on employment matters, including non-competes and TROs, with the goal of preventing future legal challenges.