At Henneman Rau Kirklin & Smith LLP, our attorneys have extensive experience in securities and financial services litigation. We have successfully represented clients at the national and regional level for a vast array of financial services firms, including investment banks, registered investment advisory firms, broker-dealers and other securities firms. Our firm has expertise in matters including trade secret, non-compete, arbitration, enforcement and regulatory proceedings.
FINRA and Arbitration
Our firm regularly represents clients before the Financial Industry Regulatory Association (FINRA) throughout the United States. We have extensive experience as the primary coordinating counsel for FINRA arbitrations and can craft and coordinate an effective litigation and arbitration strategy for our clients. We regularly represent individual brokers and financial industry professionals in compliance and regulatory issues, including U4/U5 defamation claims, responses to FINRA inquiries, responses to state or SEC regulatory inquiries and customer complaint disputes.
The goal is simple at Henneman Rau Kirklin & Smith LLP. We want to exceed our clients’ expectations and produce results that allow your company to grow and thrive in the complicated world of securities and financial services litigation.