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Securities Regulation & Litigation

Armstrong Teasdale’s Securities Regulatory & Litigation Group (SRL) is comprised of a unique team of professionals that includes the most recent Securities Commissioner for the State of Missouri. Our members’ extensive experience both in and with state and federal regulatory regimes, investigations and litigation, allows us to provide clients with invaluable advice when dealing with all manner of securities law issues.

The SRL group tackles its clients’ regulatory interactions and complex litigation issues with the goal of achieving efficient resolutions from both a legal and business perspective, and attempts to isolate those matters from the client’s normal operations to ensure its ongoing business is not disrupted or otherwise adversely affected.

Proactive Client Counseling
Securities clients’ needs are often best-served by taking proactive and preventative steps to ensure compliance with regulatory regimes and to investigate potential issues before they result in enforcement actions or litigation.  The SRL accordingly devotes a significant part of its practice to providing counseling and investigative services.

In order to avoid costly and time-consuming problems, SRL lawyers can assist clients with the following  important procedures, analyses and investigations:

  • Proactive Reviews
  • Complaints and Red Flags
  • Initial Regulatory Inquiries and Investigations
  • No-Action Letters
  • Internal Investigations


Litigation

When litigation or arbitration is unavoidable, the SRL brings to bear the resources and professionals needed to mount comprehensive, cost-effective and business-oriented defenses to all manner of civil and regulatory complaints. 

The SRL team’s  breadth of experience gives each member  a unique perspective when providing counsel in the following areas:

  • Broker-Dealer Defense
  • Fraud/Anti-Money Laundering
  • Licensing/Registration Challenges
  • Employment Issues

For more information or questions, please contact one of our Securities Regulation & Litigation attorneys.