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Securities Arbitration

Spencer Fane's Securities Arbitration Group represents brokerages, individual brokers, financial institutions, and other publicly-held companies in arbitration and judicial venues throughout the world. The Group leverages its vast experience in complex securities matters along with its Midwestern rate structure to aggressively—yet efficiently—defend securities claims. We have represented the full spectrum of broker-dealers, from the world's largest to regional brokerages. Our Group draws additional depth and expertise from the Firm's related Securities and Financial Services Practice Groups. Our attorneys have arbitrated virtually every type of investor claim, including claims of churning, unsuitability, unauthorized trading, clearing disputes, failure to supervise as well as broker recruitment and non-compete/raiding litigation. We have also represented brokers in licensure proceedings brought by Securities Commissioners. Many Group members serve as NASD and NYSE Arbitrators. Securities Fraud/Class Action Litigation Spencer Fane's vast experience defending against securities fraud claims and related class action cases provides additional expertise to the Securities Arbitration Group. The firm represents officers, directors, and fiduciaries in securities cases and derivative actions in federal courts throughout the country. Spencer Fane Securities Litigation attorneys also work extensively with audit committees on internal investigations. Securities Regulation and Compliance Spencer Fane's Securities Arbitration Group also benefits from attorneys within the Securities Practice, whose services include:

  • Public offerings and private placements of debt, equity and other securities, including international offerings.
  • Regulatory compliance matters, including preparation of proxy statements and other annual meeting documents, annual and periodic reports, and stock ownership filings.
  • Broker-dealer regulation
  • Exchange listing and public disclosure requirements.
  • Compensation and benefit plan filings.
  • Anti-takeover measures, going-private transactions and enhancement of shareholder value techniques.
  • Securities laws aspects of mergers, spin-offs, leveraged buyouts and other acquisitions and divestitures of all types.


For more information, please contact: Patrick J. Whalen 816-292-8237