Find Lawyers in Raleigh, North Carolina for Litigation - Banking and Finance
Mike Kaeding is a trial lawyer who regularly represents both plaintiffs and defendants in a wide range of complex, high-profile litigation, including antitrust, commercial, financial services, intellectual property, white collar criminal and technology cases. Mike has tried cases to verdict and regularly serves as a trial instructor for Emory University’s nationally recognized Trial Techniques program. He was named a Litigation Future Star by Benchmark Litigation. Although based in Nort...
Matthew McGuire is a partner in Alston & Bird's Litigation & Trial Practice Group, where his practice focuses on complex commercial and business tort litigation, including class action defense, financial services litigation, and antitrust litigation. He also serves as the Managing Partner of Alston & Bird's Research Triangle, North Carolina office. He has represented companies across a wide variety of industries in the prosecution and defense of claims involving breach of contract...
Brandon Neuman’s practice focuses on advising businesses and individuals on complex issues, ranging from strategic and risk management advice, regulatory and internal investigations, through bet-the-company litigation. He counsels clients on all aspects of business operations, regulatory compliance and complex commercial litigation. Brandon regularly serves as outside General Counsel for client institutions and businesses, where he manages a wide variety of legal matters such as interna...
A member of Manning Fulton's litigation section, William C. Smith, Jr. has a diverse litigation practice. He represents small and large businesses, and individuals in a variety of litigation and administrative law matters, including contract disputes, debt collection, employment, real estate and bankruptcy matters. William represents clients in both federal and state courts. He also advises both employers and employees on labor and employment issues and related matters, and represents a numbe...
Judson A. Welborn, a member of Manning Fulton's litigation section, concentrates his practice in the areas of real property litigation, construction litigation and business litigation. He has extensive experience representing clients in the state and federal courts of North Carolina, as well as administrative agencies and arbitration forums, in a variety of litigation matters involving real property and title insurance disputes, construction disputes, franchise, taxation and other business di...
Litigation - Banking and Finance Definition
Banking and finance litigation typically arises over specific loans, trades, transactions or financial products, or disputes and investigations concerning stock and commodities exchanges, pricing, disclosure, management, and servicing issues. However, because consumers and/or public shareholders are often involved, these industries are among the most highly regulated and scrutinized. Banks and financial services institutions, many of which are public, must comply with — and can also easily be accused of violating — any number of laws, including federal and state securities laws, Dodd-Frank, the Bank Secrecy Act, the Patriot Act, Credit Card and Consumer Protection laws, Truth in Lending, Equal Credit Opportunity, Fair Credit Reporting Act, and Fair Debt Collection Practices Acts.
Banks and financial institutions often become the targets of investigative or enforcement proceedings commenced by governmental entities, including the Securities And Exchange Commission, FINRA, Department of Justice, State AGs, Commodities Futures Trading Commission, FTC, Treasury Department, Consumer Financial Protection Bureau, OCC, and other regulators. Counseling companies on the potential liability and risk they face for failing to comply with relevant laws and regulations also is an essential part of the financial litigator’s role.
Financial litigators generally have experience representing corporate and individual clients in a wide spectrum of matters involving the federal securities laws, and state corporate, consumer, securities and common laws, and bankruptcy proceedings. Such matters can include, for example, shareholder class actions and derivative suits challenging the validity of disclosures and the appropriateness of transactions, as well as suits alleging insider trading, broker-dealer non-compliance, misrepresentations in financial reporting, and securities or other fraud. Financial litigators also should be experienced in the representation of corporate directors and officers in litigation arising from alleged breaches of their fiduciary and other duties. Often, the duties of officers and directors are intertwined with the substantive claims asserted against the financial entities for whom they serve.
Finally, skilled financial services litigators also regularly defend and prosecute claims arising out of complex securities, derivatives, commodities, and foreign exchange transactions in both litigation and arbitration proceedings throughout the United States and globally. Success in dealing with such claims often requires a thorough understanding of the regulations, laws, customs, and practice in various state and foreign countries.
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