In the challenging and complex landscape of securities and financial services, businesses often find themselves dealing with a wide range of disputes or regulatory matters. Armed with our unique perspective and industry know-how, our team anticipates issues and cultivates strategies to defend our clients at every stage of a financial services dispute.
Tarter Krinsky & Drogin’s Securities & Financial Services Litigation Practice has a strategic understanding of securities, derivatives, financial contracts, and structured transactions, advising clients when a dispute arises as to any aspect of such products. Leveraging their background and experience with securities, our attorneys provide guidance on risk and strategy for each stage of the dispute, from the first signs of discord through negotiation and litigation, whether as plaintiffs or defendants. At each stage, our lawyers’ focus is on achieving the most beneficial result for the client, and should litigation prove necessary, we have the resources and experience to vigorously pursue our client’s rights in court.
Our Securities and Financial Services Litigation Practice represents a broad range of financial service companies, institutional investors, investment funds, officers and directors, other high-net-worth individuals, and domestic and overseas financial institutions in a wide range of disputes arising in connection with:
- Asset-backed securities
- Collateralized bond obligations (CBOS)
- Collateralized debt obligations (CDOS)
- Collateralized loan obligations (CLOs)
- Commercial and residential mortgage-backed securities
- Crypto assets and exchanges
- Debt & equity securities
- Derivatives
- Financial contracts
- Guaranteed investment contracts (GICS)
- Leveraged loans
- Privately-issued debt (Including Rule 144a & Reg S Bonds)
- Privately-issued equity
- Regulatory capital relief transactions
- Structured financial transactions
- Swaps & options
Our team of litigators handle fraud claims under the Securities Act of 1933, the Securities Exchange Act of 1934, state statutes, and the common law, typically representing defendants in class actions and derivative litigation. We represent clients asserting contract and/or tort claims arising in connection with trustee performance, servicer performance, investment manager performance, representations and warranties, application of waterfall provisions, acceleration and diversion of cash flows, creditor payment rights pre- and post-default, and early contract termination.
Our litigators also represent clients in the crypto asset space, with broad knowledge of the current regulatory framework, evolving law arising from litigations and decisions concerning the regulatory status of various crypto assets and exchanges, as well as the various statues, rules, and regulations being proposed by industry participants, Congress, and the relevant regulators, which could significantly impact the industry’s future.
