Northern California Securities Regulation and Litigation Lawyer

Northern California Securities Regulation and Litigation Attorney

Sawyer & Labar LLP’s attorneys represent securities firms and their registered professionals in a broad range of investigations and proceedings before financial regulators, including FINRA, the Securities and Exchange Commission and the California Department of Business Oversight, the PCAOB, and state boards of accountancy.

Registered securities professionals are subject to stringent examination and disclosure requirements, which can have cascading effects in the overlapping regulatory environments that these professionals operate. Sawyer & Labar LLP knows how to navigate these spheres, from investigations through enforcement litigation, to help individual clients preserve their licensing and careers. The firm’s lawyers also have years of experience helping financial institutions respond to and manage regulatory examinations and responses.

Sawyer & Labar LLP also has expertise in defending against customer complaints and litigation, including claims relating to the standard of care and specific products. The firm’s lawyers have litigated these cases in state and federal court as well as multiple arbitration forums, including FINRA, AAA and JAMS.