Financial Markets

Print PDF
Overview
Experience
Insights & Events
Expand All

Over the next decade, the financial markets industry will undergo significant changes. Top business concerns facing clients will increasingly become more centered on increased regulation, a large baby boomer population that is redefining retirement and investing, and the need to compete more aggressively in a transparent marketplace. Such extensive changes will require the retention of solid legal counsel.

Briggs and Morgan’s Financial Markets Group is comprised of diverse individuals with extensive backgrounds in the legal, regulatory, financial services, investment, insurance and retirement industries. Whether you are a financial services company, investment adviser, plan sponsor, private fund or a broker-dealer, Briggs offers counsel to you in structuring products and services, securities regulatory counseling, investigations and regulatory proceedings, consumer disputes, complex litigation, class actions and corporate governance.  

We understand the ongoing challenge and increased pressure to respond to regulatory entities such as the Securities Exchange Commission (SEC); the Commodity Futures Trading Commission (CFTC); the Financial Industry Regulatory Authority (FINRA), the Department of Labor and the state insurance commissioners. Of tremendous interest is the Department of Labor’s new Conflict of Interest (or Fiduciary Duty) Rule and its implications for all financial institutions and plan sponsors.

The rich backgrounds of our individual attorneys offer extensive knowledge for working through compliance issues—both reactive and proactive. Our attorneys also address trading issues, new product development, and corporate governance.

Compliance Issues

We understand the ongoing challenge and increased pressure to respond to regulatory entities such as the Securities Exchange Commission (SEC); the Commodity Futures Trading Commission (CFTC); the Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers (NASD); and other Self-Regulated Organizations (SROs).  The rich backgrounds of our individual attorneys offer extensive knowledge for working through compliance issues—both reactive and proactive. Our attorneys also address trading issues, new product development, and corporate governance.

Dispute Resolution

Dispute resolution is another focus of the Financial Markets Group. Our attorneys regularly handle a variety of types of disputes from consumer disputes to large fraud and white-collar criminal cases. While most disputes are resolved through arbitration or mediation, we are experienced representing in the defense of financial services clients in the areas of contract, fraud, and securities litigation and are able to take on complex litigation and class action suits. 

General Business Counseling

In addition to the regulatory and dispute resolution services, the Financial Markets Group also offers general business counseling in the areas of market behavior, securities, futures, hedge funds, commodities, fixed and variable annuities, swaps, cross border financing, mutual funds, managed money, reinsurance, and more.  Our attorneys have assisted in the structuring of financial instruments, roll-ups, investment workouts, and manufactured products.

Complex Financial Services Litigation and Dispute Resolution
Regulatory and Enforcement Counseling

Representative Matters

Publications