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Home - Warner Norcross + Judd LLP

Our depth of expertise in securities litigation and securities loss prevention/compliance is extensive. Members of our firm have served as federal and state government securities regulators and serve on federal and state advisory committees and boards. They also regularly speak at securities-related seminars and give compliance/litigation avoidance presentations.

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Our solutions for clients include successful defense against investor claims brought in FINRA arbitrations, alternative arbitration forums, federal and state court actions, related facilitative mediations and class actions. Though most securities cases are either dismissed or settled, we regularly step into the ring to try cases in arbitrations. This experience separates us from many securities lawyers and brings credibility to any tussle we are in. We regularly get securities claims dismissed from federal or state court, compel arbitration in appropriate circumstances, have handled multi-million dollar arbitration claims, getting them dismissed after trying the cases on the merits or, when appropriate, filing dispositive motions.

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When members of the financial services industry have a fight with each other, we are ready with gloves on to jump in and defend or prosecute disputes over recruiting, hiring, firing, the applicability of restrictive covenants, privacy agreements, Regulation S-P, statements on Form U-5's, forgivable loan incentives and the propriety of injunctive relief. We have on multiple occasions represented our clients on injunction matters involving firm recruitment of associated persons and solicitation of clients and the related, companion FINRA arbitrations that must be filed with requests for injunctive relief in court pursuant to the FINRA Code of Arbitration Procedure. Our litigators have handled these matters for national firms at various locales around the country, successfully working with clients’ insurance carriers when the clients do not self insure.

We have successfully handled over 30 class action lawsuits and never lost. These matters involved well-known New York and California class action law firms on behalf of claimants and by nationally recognized New York and D.C. securities litigation firms representing defendants. We take pride in the fact that numerous clients using such nationally recognized firms have compared and praised the superior quality and value of our work.

Regulatory Enforcement Actions and Investigations

We also regularly respond to and defend against regulatory inquiries, investigations and enforcement actions by the SEC, FINRA and state regulatory agencies or other Self-Regulatory Organizations. We stay current on important issues such as maintaining and waiving applicable privileges, consolidating and simplifying investigations and actions by multiple regulators, cooperation and appropriate settlement strategies. Recently we have been engaged to handle regulatory action and claims involving alleged assistance to day traders in placing large, timed orders in mutual funds.

We have the expertise to advise you on realistic and cost-effective strategies. We invite you to compare our academic and professional backgrounds with those of other firms you use or are considering. We will compare favorably, as the lawyers who practice here are uniformly high achievers who could have practiced anywhere but came here for the unique opportunity of a complex legal practice without the big city costs and burdens.

We also are confident that we offer clients and insurance carriers a chance to consolidate legal work with us, thereby enhancing efficiencies and reducing legal and administrative costs. Here's how:

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In short, we are ready to serve your securities litigation needs. We hope you will check us out and give us an opportunity to help you reach your goals.

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Funds and Investments

Senior Counsel

Conor B. Dugan

Partner

Brian J. Masternak

Gordon J. “Gord” Toering

Litigation and Dispute Resolution

Securities Litigation and Arbitration

The Warner Norcross + Judd LLP lawyer responsible for the contents of our advertising and this website is managing partner <a href="/people/mark-j-wassink/" aria-label="Mark Wassink">Mark Wassink</a> who can be reached at <a href="mailto:mwassink@wnj.com" aria-label="email Mark Wassink">mwassink@wnj.com</a> or 616.752.2189. Please read our full <a href="/privacy-policy/" aria-label="see privacy policy">privacy policy</a> available on our website.

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