Overview

Blending extensive trial experience with a practical understanding of the financial services industry's legal and business challenges, O'Hagan Meyer represents securities brokerage, investment advisory, and other financial services firms, as well as their professionals, in high-stakes disputes, securities litigation, regulatory investigations, FINRA arbitrations and enforcement proceedings nationwide.

Our clients include broker-dealers, self-clearing and introducing firms, bank-owned brokerages, investment advisers, investment banks, funds, wealth management businesses and their professionals. We also represent accounting firms, issuers, and other businesses facing securities litigation, regulatory investigations and enforcement matters.

We handle the full range of financial services disputes, from regulatory investigations and enforcement actions to FINRA arbitrations, securities litigation, and complex commercial litigation. We regularly serve as trial counsel in state and federal courts and arbitration proceedings involving federal and state securities laws, FINRA rules, and common law claims arising from equities, alternative and structured products, annuities, fixed-income and debt instruments, and other complex investment transactions. Our team also advises clients on governance, supervisory systems, disclosure practices, internal controls, and compliance measures designed to identify and address potential issues before they lead to investigations or litigation.

Composed of accomplished trial lawyers and attorneys who have served in senior positions at the U.S. Securities and Exchange Commission and FINRA, we possess valuable insight into how regulators evaluate evidence, conduct investigations, and make enforcement decisions, which informs our strategies in responding to investigations, defending claims and resolving disputes.

Our Experience Includes

Securities fraud, market manipulation, insider trading, and other alleged securities law violations
Claims involving unsuitable investment recommendations, churning, unauthorized trading, breach of fiduciary duty, and misrepresentation
SEC, FINRA, MSRB, CFP Board, and other state regulatory investigations and enforcement actions involving customer, employment, compensation, suitability, supervisory, and business disputes
Internal investigations, whistleblower matters, and responses to subpoenas, Wells notices, testimony requests, and document demands
Shareholder and investor disputes
Banking, commercial finance, Uniform Commercial Code, and other financial services litigation
Directors and officers (D&O), professional liability, insurance coverage, and indemnification disputes

We coordinate defense strategies across multiple proceedings while helping clients manage risk, minimize business disruption, and make informed decisions throughout the process. Drawing on the firm's labor and employment capabilities, we also counsel clients on recruiting and onboarding, independent contractor and brokerage relationships, consulting and franchise agreements, broker protocol issues, restrictive covenant disputes, and other employment and competitive matters.

As trial lawyers, we believe the strongest outcomes, whether achieved through settlement or at trial, are built on meticulous preparation, compelling case themes, command of the facts and law, and close collaboration with our clients. Our engagements come directly from legal departments and senior management, as well as leading liability insurers, and we regularly serve as lead, national, co-counsel, and local counsel in matters across the country.