Today, the securities industry is faced with significant regulatory and compliance issues as well as heightened oversight. FINRA rules now in effect set out additional requirements for obtaining customer information and making “suitability” determinations, with a possible fiduciary component. Wilson Elser’s Securities practice uses its solid experience, operational knowledge and ability to meld industry concerns with legal remedies on behalf of industry clients. We focus on defending financial industry professionals, including broker-dealers, RIAs, mutual funds, private equity firms and hedge funds, in complex litigation brought under federal and state securities laws. Many of our attorneys earned their credentials as in-house counsel for a range of institutions, as high-level litigators or as insiders at the major regulatory bodies at the federal level.

Wilson Elser has assembled a team of prominent, seasoned attorneys to address the legal needs along the financial services continuum, with direct lines to other firm practices as required. This team has garnered Wilson Elser a ranking by Chambers USA, in the Bankruptcy/Restructuring category. They specialize in commercial financing and banking law and all facets of related commercial litigation; creditors’ rights, concentrating on loan work-out and restructuring, commercial litigation and bankruptcy matters; bankruptcy practice/creditors' rights and related commercial litigation; and Chapter 11 reorganizations and Chapter 7 liquidations.