Types of Clients
DWH Legal represents broker-dealers, financial advisors, registered representatives, registered investment advisor firms and investment advisors, financial planners, banks, insurance companies, publicly traded and privately held companies and their officers/directors, hedge funds, investment partnerships, high net worth families and individuals, and investors.
We represent financial institutions in litigation and arbitration, and generally advise on matters such as SEC/FINRA/State/SRO investigations and examinations; raiding claims, protocol and other employment matters specific to the financial services industry; disclosure matters involving Forms U4/U5 and From ADVs; registered investment advisor and broker-dealer formation; compliance counseling; enforcement of promissory note obligations; and disputes involving alleged investment losses by customers. We also are frequently engaged to provide compliance-related advice, trade reviews, and to conduct internal investigations. Our representative clients include Morgan Stanley, US Bank, and numerous registered investment advisors.
We represent financial professionals in litigation and arbitration, and generally advise on matters such as SEC/FINRA/State/SRO investigations and disciplinary matters, following protocol and other items that arise when transitioning to new firm, employment matters specific to the financial services industry; disclosure matters involving Forms U4/U5 including expungement; promissory note obligations; and defending customer claims.
We represent individual investors in claims involving prime bank fraud and Ponzi schemes, securities fraud involving public companies, hedge funds and other pooled investment vehicles, as well as traditional claims involving unsuitable investments, overconcentration, churning, unauthorized trading, selling away, broker theft, failure to supervise, breach of fiduciary duty, self-dealing, and complex financial products such as variable annuities, universal variable life insurance, oil and gas partnerships, structured products and leveraged exchange traded funds (ETFs). We also represent individuals in whistleblower claims. Our experience permits us to properly analyze your matter at intake so that we can properly advise on the strength of your claim.
We represent business/commercial clients in arbitration and in state/federal courts nationwide involving business disputes involving employment disputes, breach of contract claims, partnership disputes, shareholder disputes, negligence claims, deceptive business practices, fraud claims, misappropriation claims, trade secrets violations, enforcement of non-compete covenants, insurance claims, and various types of insurance claims.
We are also often retained by small and medium-sized business to serve as their external general counsel where we provide general business counsel on various issues as they arise such as corporate formation and compliance, board governance, by-laws, employment contracts and related employment disputes, buy-sell agreements between shareholders/partners, contracts with third-parties, compliance with applicable state/federal regulations, and various other items that come up in connection with small and medium-sized businesses.