Financial Services & Securities

Financial Services & Securities

Vandeventer Black’s capability in professional liability matters includes significant experience in Financial Services and Securities disputes. Our clients have included investment advisors, broker-dealers, investment banks, commercial banks, wealth management firms, and hedge funds, as well as their senior managers and registered representatives. We have also represented accounting firms and other businesses facing securities claims and related issues.

Our firm brings efficient, focused capability to bear in such matters. We have also served as local or co-counsel to leading national law firms. This experience can be categorized in three general areas:

Litigation & Arbitration:
We have represented institutional and individual clients facing claims arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisors Act of 1940, the Uniform Securities Act, and a variety of fraud and other common law clams. These cases have involved a number of investment products, services and transactions. These matters include cases brought in the U. S. District Courts, U. S. Bankruptcy Courts, state courts, administrative agencies including the Virginia State Corporation Commission, and in arbitration before a variety of sponsoring and self-regulatory organizations.

We have also represented financial service and other business clients in claims involving credit issues, lender liability, deepening insolvency, and various business torts.

Regulatory & Enforcement:
We have represented clients in investigations, compliance and enforcement matters brought by the enforcement divisions of the Securities and Exchange Commission, FINRA, NYSE, MSRB DOJ, and the regulatory agencies of various states, including Virginia’s State Corporation Commission.

Employment:
We frequently represent financial service employers in matters involving recruiting, “on-boarding,” licensing, compliance, supervision, control-person liability, and other employment matters which have unique considerations given the specialized nature of these businesses, as well as the extensive regulatory oversight, legislation and rule-making at the federal and state levels.

Articles
How does El Salvador’s Bitcoin Law Impact U.S.-based Virtual Currency Exchanges?
Daniel Salmon
In our recent article on the legal framework governing virtual currencies, we briefly discussed the distinction between money transmitters and virtual currency exchanges.  In short, transmitters are entities that convert fiat currency into virtual currency, whereas exchanges are entities that swap one virtual currency for another, such as Ethereum (ETH) ...
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Cryptocurrency: Entrepreneurs Leveraging New Technology
Daniel Salmon
Our previous article in this series looked at the legal framework surrounding blockchain technology.  This article will look at practical uses for the technology. Blockchain technology has implications for many business owners, even those not interested in the speculative trading element in cryptocurrency which is akin to trading in the ...
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Cryptocurrency: A Legal Framework for a Fast-Moving Technology
Daniel Salmon
Our previous article considered the technology behind cryptocurrency. This article will focus on the legal framework governing the industry.  The cryptocurrency market is subject to a patchwork of inconsistent legislation and regulations that continue to evolve, leading to uncertainty about its future.  While the blockchain industry has grown for years, ...
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