Securities Litigation & Enforcement

Financial services companies face unprecedented challenges as they navigate today’s complex and often turbulent economic and regulatory environment. In order to meet these challenges, companies need direct access to the right resources to resolve legal issues and achieve business objectives.

Chiesa Shahinian & Giantomasi’s Securities Litigation and Enforcement Group meets that need with the knowledge and experience required to handle the industry’s tougher issues. Our attorneys provide each client with the tailored resources necessary for a successful outcome. We advise broker-dealers, private banks, investment banks, commercial banks, investment advisers, hedge funds, clearing firms and others in a broad range of litigation and regulatory matters, including responding to regulatory investigations and inquiries; internal investigations; enforcement of restrictive covenants and trade secrets and assertion of unfair competition claims; defense of investment-related claims; and resolution of information security issues. Our practice is further strengthened by access to Chiesa Shahinian & Giantomasi attorneys who focus on a wide range of disciplines that are often intertwined, including white collar criminal defense, employment, bankruptcy, tax, mergers and acquisitions, and ERISA.

Regulatory and Internal Investigations

Chiesa Shahinian & Giantomasi is a leader in advising clients on regulatory matters and conducting internal investigations. Our Attorneys bring a long and successful track record of representing companies in securities-related regulatory examinations, investigations and enforcement actions by federal, state and self-regulatory organization (SRO) regulators, and in internal investigation. Our attorneys handle matters before the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and various federal and state regulators involving a broad range of subject matters, including:

  • Alternative investments
  • Anti-money laundering
  • Auction rate securities
  • Books and records
  • Collateralized debt obligations
  • Email and correspondence review
  • Gifts and entertainment
  • High-yield securities
  • Insider trading
  • Investment Advisers Act compliance
  • Licensing and registration
  • Margin
  • Market manipulation
  • Market timing of mutual funds and variable annuities
  • Mark-ups
  • Municipal bonds
  • Options trading and supervision
  • Ponzi schemes
  • Private placements
  • Reg S-P and privacy issues
  • Regulations T and U
  • Sales literature and advertising
  • Selling away
  • Seminar approval
  • Statutory disqualification
  • Structured notes
  • Suitability
  • Supervision
  • Unauthorized trading
  • Variable products

Because we are a large and diverse firm, we are fully prepared to handle criminal law questions and issues that may arise during the course of securities and regulatory cases. Our team of attorneys includes former New Jersey state attorneys general, former assistant United States attorneys, and former state prosecutors. Clients can rely on the knowledge and experience of these attorneys for thorough and efficient representation, regardless of the issues that arise.

Litigation and Defense of Customer Investment-Related Claims

For more than 35 years, Chiesa Shahinian & Giantomasi litigators have represented a wide range of businesses in federal and state courts, before federal and state administrative agencies and in arbitration forums. In the financial services industry, we assist companies and their officers, directors and employees in resolving disputes, either by preventing litigation or, when necessary, seeing issues through to final resolution. We provide the experienced counsel clients depend on for resolving a wide variety of disputes including:

  • Customer investment-related claims
  • Litigation involving federal and state securities laws
  • Shareholder class-action and derivative litigation
  • Trading disputes
  • Banking and wire fund transfers claims
  • Employment and discrimination claims

Restrictive Covenant, Trade Secret and Unfair Competition

Combining the firm’s litigation and employment law experience, Chiesa Shahinian & Giantomasi represents a diverse cross-section of clients throughout the country on issues relating to enforcement of restrictive covenants, trade secret protections and confidentiality agreements, as well as with claims relating to “garden leave,” “raiding” and unfair competition. We also draft employment agreements and restrictive covenants for our clients. Our extensive representation of financial institutions includes:

  • National, regional and local broker-dealers
  • Bank-owned broker-dealers
  • Commercial banks
    • Investment banks

In addition, our Intellectual Property Group provides clients with litigation and other services with regard to the creation and enforcement of patents, trademarks and copyrights, including those for “business methods.” We also have experience handling other non-competition issues, including employment law and workplace matters such as defamation and harassment claims, wrongful termination claims, collection of promissory notes or retention loans, and compensation matters, including deferred compensation and overtime claims.

Information Security Counseling

The crime of identity theft has become a major law enforcement challenge due to the staggering amount of sensitive, personal information that is vulnerable to criminal interception and misuse. Financial institutions and other businesses that possess sensitive, personal customer data as part of their businesses must be prepared to address the critical issues surrounding information security and identity theft.

Chiesa Shahinian & Giantomasi advises its clients in connection with information security issues under federal and state laws and is constantly monitoring changes in privacy and customer data regulations in order to help clients meet new compliance mandates. Our attorneys provide counseling regarding obligations under the Gramm-Leach-Bliley Act, Reg S-P and state laws.