Akerman provides a broad range of legal services to the broker-dealer and financial services community, including representation in litigation, arbitration, regulatory, internal and external investigations, transactional, and advisory matters.

Our lawyers have represented industry clients in state and federal courts, FINRA and AAA arbitrations, pre and post litigation mediation, and regulatory investigations and enforcement proceedings before the SEC, the Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations, and state regulators.

Our experience includes the representation of national and regional brokerage firms, clearing firms, independent firms, individual registered representatives, Registered Investment Advisors, public companies, and corporate officers and directors, in disputes with customers, before regulators, in internal reviews of sales practice and product issues, internal investigations in a wide range of employment related charges such as harassment and discrimination practices, internal reviews of sales practice and product issues, recruiting disputes, and investigations of employee and third party fraud. Our experience also includes consulting services on compliance policies and procedures.

Team of experienced trial attorneys includes a former general counsel and senior executive from the broker-dealer industry, attorneys with a depth of experience in representing broker-dealers in SRO arbitrations and litigation, former SEC attorneys, securities fraud attorneys, class action attorneys, and multidistrict and other complex securities and business litigation attorneys

Defend clients against claims asserted by institutional and retail customers including allegations of fraud, misrepresentation, unsuitability, excessive trading, unauthorized trading, failure to execute, and product related claims

Represent broker-dealers, other financial services firms, and individuals in investigations and enforcement actions by the SEC, FINRA, CFTC, and state regulatory agencies

Defend clients in litigation involving a wide range of financial products, including equities, preferreds, mutual funds, annuities, options, UITs, REITs, CMOs, CDOs, hedge funds, options, private placements, limited partnerships, and structured products

Advise clients targeted or involved in disputes involving corporate raiding, breach of non-competition agreements, breach of non-solicitation agreements, and misappropriation of trade secrets

Experience in litigating recruiting disputes, including restrictive covenant litigation, trade secret litigation, unfair competition, and corporate raiding disputes

Securities Litigation and Arbitration

SEC, SRO, and State Regulatory Investigations and Enforcement Proceedings

Securities Class Action Defense

Broker-Dealer Recruiting and Raiding Litigation

Internal Investigations

Employment Litigation and Arbitration

Compliance and Legal presentations

"This solid team is well versed in handling complex commercial litigation. It is noted particularly for its expertise in matters relating to the financial services, insurance, healthcare and real estate sectors. With the backing of the firm's impressive national network, the team is able to handle nationwide class actions with ease." (Chambers USA)

U.S. News - Best Lawyers: Recognized as a national tier one law firm for International Arbitration - Commercial, Litigation - Bankruptcy, Litigation - Construction, and Litigation - Real Estate

Chambers Latin America: Ranked as one of the leading International Arbitration law firms across all of Latin America

Chambers Global: Ranked as one of the leading International Arbitration law firms across all of Latin America

U.S. News - Best Lawyers: Recognized in the national Commercial Litigation, Litigation - Antitrust, Litigation - Banking & Finance, Litigation - Intellectual Property, Litigation - Labor & Employment, and Litigation - Securities categories

Law360: Ranked among the top 100 Product Liability law firms

Benchmark Litigation: Recognized as Florida Litigation Law Firm of the Year

Benchmark Litigation: Top ranked in Florida and recommended as a leading Litigation law firm in Virginia

Benchmark Appellate: Top ranked in Florida, Eleventh Circuit

Chambers USA: Ranked as one of the leading Litigation law firms in Florida since 2003

Chambers USA: Ranked as one of the leading Antitrust law firms in Florida