Wilson Elser is a leader in providing focused, cost-efficient handling of sensitive and complex private client defense of arbitration and litigation matters.  Our attorneys represent broker-dealer firms in thousands of arbitration proceedings.  We are organized into practice teams, and as a result, our clients benefit from the combined knowledge amassed by our attorneys on both a regional and national basis.  We also maintain well-developed research files on many recurring issues, arbitrators and adversaries, which serve to enhance our efficiency and effectiveness.

Our firm has a unique approach to claims analysis.  We use, on a case-by-case basis, a systematic approach to analyzing the key issues in securities cases.  This approach includes, for example, matching a customer's specific suitability criteria to universal standards, analyzing whether trading matches investment objectives for each product (be it stock, bond, mutual fund, etc.), and preparing a profit-and-loss statement for an account that illustrates key issues like out-of-pocket losses, commissions and concentration.  We do this analysis at the inception of a case to best predict potential exposure and settlement, which are key issues for our clients.

Our attorneys appear regularly in each of the major arbitration forums, including the NASD, NYSE and AAA, and can advise clients on tactical and risk management issues associated with arbitration in each of these forums.  In addition, we have the internal expertise to prepare profit-and-loss statements, turn-over calculations and other analyses often required in arbitration proceedings.

Wilson Elser's private defense/arbitration client list includes small and midsize regional broker-dealers, as well as nearly all of the large national firms.

Wilson Elser also offers the skills of talented and prominent litigators who have defended many issues critical to the securities industry.  We routinely provide services for the largest and most complex of these matters.  Although we regularly and successfully try cases in the courts, before administrative law judges and in arbitration, we also partner with our clients to achieve the alternative resolution they may require.  We never lose sight of the need to put clients' interests first.

The diverse experience of our lawyers enables us to represent clients with the full range of matters arising under federal and state securities law, corporate and banking laws and ERISA.  We represent our clients in the defense of a variety of securities and shareholder litigation, including:

• Class action litigation.
• Shareholder derivative litigation.
• Proxy litigation and contests for control.
• Claims arising from stock acquisitions and other corporate transactions.
• Product-related claims.

We also provide representation in connection with employee claims, tax disputes, real estate suits and all manner of other commercial claims.  Our litigation clients include broker-dealers, investment advisers, mutual funds, hedge funds, underwriters, public companies, directors and officers.