Practice Areas

We have represented national broker-dealers, advisory firms, hedge funds, issuers, and licensed financial representatives in nearly every type of litigation and regulatory matter these firms and individuals can encounter.  Our team has represented broker-dealers in multi-week FINRA arbitrations, private arbitrations conducted through AAA, SEC enforcement matters, and state investigations.  Our clients have hired us in multi-case matters arising out of failed investments, issuer fraud, rogue brokers, and general suitability cases. 

We are currently representing several broker-dealers in dozens of matters arising out of recently failed investments and claims relating to brokers who have engaged in selling away or other fraudulent conduct.  Our clients typically retain us for some of their most significant matters and know that, if necessary, we will take such matters through final hearing.  

  We understand that facing a government investigation or prosecution can be confusing and frightening. A crisis of this type requires implementation of intelligent strategies that will assist clients confronted with these issues. We help provide the ability to respond in an organized manner and to make reasoned, informed decisions resulting in favorable resolutions for our clients. 

We regularly defend clients, including publicly traded and privately held companies, who are facing Securities and Exchange Commission investigations and enforcement actions. We also assist clients facing similar inquiries from other federal and state securities and financial regulators, helping clients respond to examinations, investigations, and subpoenas. 

Our team includes attorneys who are former federal and state prosecutors, as well as attorneys with extensive regulatory defense experience. Our intimate knowledge of how government agencies conduct investigations and prosecute these matters allows us to help clients navigate these complicated regulatory and compliance challenges when the need arises. 

Even the most outstanding attorneys can find themselves facing adverse civil or regulatory action as a result of advising their clients. We represent attorneys in actions for malpractice, fraud, and breach of fiduciary duty actions, as well as in regulatory proceedings and disciplinary matters. We also represent attorneys in issues relating to conflicts of interest, attorney’s fees disputes, malicious prosecution, client trust account management, e-discovery, ethical walls, and misappropriation of trade secrets. 

An effective defense of these claims requires careful analysis of the underlying facts and law, and we are committed to immersing ourselves in the details in order to develop the strongest defense possible. TT & E’s depth of practice affords us access to knowledgeable attorneys in a number of practice areas, enabling us to develop sophisticated defense strategies, often without the need to retain outside consultants.  

We represent corporate executives in all types of matters, including, but not limited to, breach of fiduciary duty, fraud, and breach of contract claims, as well as shareholder disputes. Our attention to detail, client communication, and use of creative strategies to approach complex issues uniquely position us to advocate aggressively for our clients in an array of commercial actions. We are trial lawyers skilled in obtaining results-driven outcomes for our clients. 

We represent professionals and regulated companies in all types of professional liability matters. We have represented a diverse group of such clients, including third-party administrators, accountants, employee-benefit companies, a global logistics company facing multimillion-dollar exposure for allegedly failing to handle customs imports properly, property management companies, real estate agents, insurance brokers, and dozens of other matters in highly specialized fields.  

We help clients navigate the cyber security breach response landscape, both on the regulatory side and in the courtroom, should civil litigation arise. Our lawyers have handled scores of data breach events, helping clients manage the response, including oversight of forensic investigations, handling consumer notifications across multiple jurisdictions, responding to regulatory inquiries/investigations and related litigation.  The team has also handled multiple SEC investigations related to cyber security. 

We represent architects and engineers in all types of matters, including claims and lawsuits arising out of Americans with Disabilities Act compliance, contract disputes, construction defects and delay, professional negligence, and statutory violations. 

As with all of our clients, we work with our design professional clients collaboratively to develop strategies to attain economical and effective results.

We help employers respond to claims and lawsuits brought by employees. Our investigative skills, in-depth knowledge of state and federal law, and collaborative strategizing enable us to work with our clients toward optimal results. 

We also are available to consult on best practices for avoiding claims and can be retained to conduct review of internal policies and procedures, including development or revision of employee handbooks, planned courses of action, etc.