Lawrence Law regularly represents clients in SEC and DOJ investigations alleging financial fraud, accounting irregularities, disclosure and internal control deficiencies, insider trading, foreign corrupt practices, and other misconduct. Lawrence Law also represents clients in matters before FINRA, the CFTC, state securities regulators, and numerous other financial regulators and SROs. When necessary, Lawrence Law attorneys aggressively litigate regulatory matters and have extensive experience in managing multiple litigation fronts, such as parallel criminal and SEC investigations, state regulatory investigations, and private litigation. Lawrence Law’s clients include broker-dealers, investment banking firms, hedge fund advisers, private equity fund advisers, independent investment advisors, investment bankers, officers and directors of publicly traded companies, and individual traders.

Lawrence Law primarily represents defendants in private securities litigation, including class actions, shareholder derivative actions, and FINRA arbitrations. However, Lawrence Law’s independence permits our attorneys to serve businesspeople who need to sue businesses or financial professionals when necessary. Serving as both defense and plaintiff counsel provides our attorneys with unique insight in adversarial proceedings. In our plaintiff’s-side practice, attorneys at Lawrence Law obtained an $80.8 million award for consequential damages on behalf of a telecommunication company against a major international bank for a claim involving auction-rate securities. This award is the largest consequential damages claim in FINRA’s history, and it is the largest reported consequential damages award or verdict in the United States to date.

Notable Engagements:

  • Successfully defended financial services professionals and executives in over 50 separate SEC investigations concerning, among other things, insider trading, accounting fraud, false performance reporting, naked short selling, and violations of MSRB rules.
  • Successfully defended trader against securities fraud claims by the SEC in month-long trial concerning allegations of naked short selling; obtained $1.6 million FINRA arbitration award for same trader-client in action against trader’s broker for wrongfully involving trader in SEC litigation
  • Obtained an $80.8 million FINRA arbitration award on behalf of telecommunications company Kajeet, Inc.; the award is the largest consequential damages claim in FINRA’s history, and it is the largest reported consequential damages award or verdict in the United States to date.
  • Successfully defended institutional consultants in federal court TRO proceeding concerning alleged violations of non-solicitation agreements and Protocol for Broker Recruiting; successfully resolved follow-on FINRA arbitration concerning same allegations.
  • Successfully defended numerous financial services firms and finance professionals in FINRA arbitrations alleging fraud, failure to supervise, and other sales practice.