Securities Litigation

Our Securities Regulation, Litigation and Arbitration Group bring together attorneys from many of the firm's practice areas, including complex litigation and class action defense, arbitration, regulatory defense, regulation and compliance. Our broad and unique experience, expertise and insight come from decades in the industry on both the brokerage and regulatory side. Given that background, our specialized representation gives clients an edge in dealing with the issues, laws, regulations and trends impacting participants in the securities and financial services industries. We provide effective and efficient representation to a wide variety of clients, from major wirehouse firms and national and regional independent contractor firms, to state and federal registered investment advisers, investment bankers, hedge funds, private equity funds, mutual funds, financial planners, money managers, and individual representatives.

Few law firms in the Southwest and Mountain West have represented more broker-dealers than Lewis Roca Rothgerber Christie. We have handled hundreds of customer disputes alleging inappropriate investment and trading strategies against broker-dealers in arbitration and in court. Our litigators also regularly represent broker-dealers in other matters, such as restraining orders in broker raiding cases involving non-competition and non-solicitation contracts, and in regulatory and disciplinary matters before state and federal regulators as well as self-regulatory organizations, as well as in defense of allegations of underwriting misrepresentation, in wage disputes and in EEOC discrimination claims. We have successfully defended prominent national banks against multimillion-dollar claims of securities and common law fraud, public company directors and officers against claims asserted in shareholder derivative actions and by regulators, and investment advisers accused of an array of regulatory and fiduciary duty violations, in regulatory as well as private actions.

We have attorneys with experience in the following areas: 

  • Litigation, Arbitration and Mediation
  • Class Action and Major Liability Defense
  • Defense of Fraud and other Investor Abuse Complaints
  • Broker-Dealer Employment Disputes
  • "Raiding" and Recruitment
  • Employment and Termination Issues
  • Non-Compete and Non-Solicitation Agreements
  • Contractual Issues
  • Privacy and USA PATRIOT Act Issues
  • Federal, State and SRO Regulatory Compliance, Investigations and Defense
  • Sarbanes-Oxley and PCAOB Compliance and Defense
  • All aspects of federal and state broker-dealer, investment adviser and hedge fund regulation, compliance and defense
  • Commodity Exchange Ace and Model State Commodity Code compliance and defense
  • Dodd-Frank and JOBS Act issues and compliance

Business Transactions

Philip A. Feigin
Philip A. Feigin
Partner
Denver, Tucson
pfeigin@​lrrc.com
303.628.9509 / vCard

Litigation

Edwin A. Barkel
Edwin A. Barkel
Partner
Phoenix
ebarkel@​lrrc.com
602.262.5377 / vCard
Frederick J. Baumann
Frederick J. Baumann
Partner
Denver
fbaumann@​lrrc.com
303.628.9542 / vCard
Von S. Heinz
Von S. Heinz
Partner
Las Vegas
vheinz@​lrrc.com
702.949.8215 / vCard
Lawrence A. Kasten
Lawrence A. Kasten
Partner
Phoenix
lkasten@​lrrc.com
602.262.0228 / vCard
Mark G. Krum
Mark G. Krum
Partner
Las Vegas
mkrum@​lrrc.com
702.949.8217 / vCard
James M. Lyons
James M. Lyons
Partner
Denver
jlyons@​lrrc.com
303.628.9546 / vCard
William D. Nelson
William D. Nelson
Partner
Colorado Springs
wnelson@​lrrc.com
719.386.3057 / vCard
Brian J. Pollock
Brian J. Pollock
Partner
Phoenix
bpollock@​lrrc.com
602.262.5758 / vCard
Kenneth F. Rossman, IV
Kenneth F. Rossman, IV
Partner
Denver
krossman@​lrrc.com
303.628.9584 / vCard
Jesse B. Simpson
Jesse B. Simpson
Partner
Phoenix
jsimpson@​lrrc.com
602.262.5387 / vCard
Jamie L. Halavais
Jamie L. Halavais
Of Counsel
Phoenix
jhalavais@​lrrc.com
602.262.5767 / vCard

Related News

07/15/2016
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Lewis Roca Rothgerber Christie labor and employment attorney recognized by Az Business magazine
9/2/2015
Complex Litigation Team joins Lewis Roca Rothgerber
Five attorneys jump to growing general practice firm in Phoenix
8/25/2015
Lewis Roca Rothgerber Adds Three Attorneys To Litigation Group
Ian Fischer, Jamie Halavais and Cindy Schmidt Join Growing General Practice Firm in Arizona

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Primary Services

Litigation

Key Contacts

Jesse B. Simpson
Jesse B. Simpson
Partner
602.262.5387
William D. Nelson
William D. Nelson
Partner
719.386.3057
Philip A. Feigin
Philip A. Feigin
Partner
303.628.9509