Securities, Broker-Dealer and Insurance Product Litigation

Litigation

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Stevens & Lee’s national securities litigation team represents broker-dealers, investment advisers, financial professionals, insurance companies, banks and directors and officers of public companies in customer litigation, 10b-5 and other securities-based disputes, FINRA claims, insurance products litigation and regulatory investigations. Led by a Series 7 licensed, 20-plus year practitioner who has directed the defense of more than 250 FINRA arbitration claims on behalf of broker-dealers, our team has successfully tried FINRA cases throughout the country, obtained early case dismissals of frivolous claims and negotiated favorable settlements on behalf of national and regional broker-dealers, Fortune 100 insurance companies, registered securities principals and registered representatives.

Stevens & Lee frequently defends broker-dealers and registered individuals in SEC, FINRA and state securities commission investigations and enforcement actions. We regularly defend large insurance clients in matters in state and federal courts, including litigation involving retirement plans (including 412(i) and 419 plans), insurance product suitability and agent termination issues.

In the broker-dealer and investment adviser realm, we focus on early assessment and case evaluation, the use of mediation for potential early case resolution and the efficient employment of damages and liability experts to obtain the very best trial results for our clients. When the dispute merits resolution through trial or arbitration, our success rate is unmatched.

In regulatory investigations, we represent individuals and financial services firms in SEC testimony, FINRA OTR examinations and state securities commission appearances. In addition, we handle all aspects of SEC informal inquiries, formal investigations and enforcement actions, and conduct investigations for financial services clients relating to potential securities law and SRO violations.

We work with local counsel and have handled matters in more than 20 jurisdictions with a 100% success rate at achieving pro hac admission to represent our clients’ interests.

Representative clients include MassMutual, MML Investors Services, ING North America Insurance Corporation, ING Annuity and Life Insurance Company, ING Financial Partners, Directed Services, LLC, Janney Montgomery Scott, National Life, Equity Services, Inc., Haverford Trust Company, Haverford Financial Services and Scottsdale Capital.

Steven J. Adams

Shareholder

sja@stevenslee.com

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Reading: 610.478.2133

Daniel E.P. Bausher

Shareholder

deb@stevenslee.com

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Reading: 610.478.2207

G. Thompson Bell, III

Shareholder

gtb@stevenslee.com

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Reading: 610.478.2203

Marcia A. Binder

Associate

mab@stevenslee.com

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Reading: 610.478.2126

Charles J. Bloom

General Counsel

cjb@stevenslee.com

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Valley Forge: 610.205.6001

Mark D. Bradshaw

Shareholder

mdb@stevenslee.com

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Harrisburg Market Square: 717.255.7357

Matthew C. Brunelli

Associate

mcb@stevenslee.com

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Philadelphia: 215.751.1955

Jeffrey D. Bukowski

Shareholder

jdb@stevenslee.com

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Reading: 610.478.2215

Rachelle G. Cecala

Associate

rgc@stevenslee.com

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Reading: 610.478.2065

Todd J. Cook

Shareholder

tjc@stevenslee.com

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Reading: 610.478.2076

William A. DeStefano

Partner

wad@stevenslee.com

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Philadelphia: 215.751.1941

Mark C. Franek

Associate

mcf@stevenslee.com

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Valley Forge: 610.205.6029

Marianne J. Gilmartin

Shareholder

mjg@stevenslee.com

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Scranton: 570.969.5362

Wilkes-Barre: 570.969.5362

Peter G. Glenn

Of Counsel

pgg@stevenslee.com

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Reading: 610.478.2123

E. Thomas Henefer

Shareholder

eth@stevenslee.com

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Reading: 610.478.2223

Craig A. Hirneisen

Associate

cah@stevenslee.com

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Reading: 610.478.2229

Harry A. Horwitz

Shareholder

hah@stevenslee.com

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Philadelphia: 215.751.1952

Princeton: 609.243.6432

Daniel B. Huyett

dbh@stevenslee.com

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Philadelphia: 215.751.1956

Reading: 610.478.2219

Christine M. Kovan

Counsel

cmk@stevenslee.com

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Valley Forge: 610.205.6038

Suzanne M. McSorley

Shareholder

smcs@stevenslee.com

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Princeton: 609.987.6663

Bradley L. Mitchell

Shareholder

blm@stevenslee.com

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Princeton: 609.987.6680

New York: 646.254.6385

Irish “Ryan” Neville

Of Counsel

irn@stevenslee.com

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Charleston: 843.414.8864

David J. Parsells

Shareholder

djp@stevenslee.com

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Valley Forge: 610.205.6004

Terri A. Pawelski

Shareholder

tap@stevenslee.com

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Philadelphia: 215.751.1961

Nicholas H. Pennington

Associate

nhp@stevenslee.com

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Valley Forge: 610.205.6352

Julie E. Ravis

Shareholder

jera@stevenslee.com

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Reading: 610.478.2077

Eric M. Robinson

Shareholder

emr@stevenslee.com

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New York: 212.537.0408

Neil C. Schur

Shareholder

ncsc@stevenslee.com

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Philadelphia: 215.751.1944

James C. Schwartzman

Partner

jcsc@stevenslee.com

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Philadelphia: 215.751.2863

Stacey A. Scrivani

Shareholder

sasc@stevenslee.com

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Reading: 610.478.2086

Wilmington: 302.425.3306

Elliott J. Stein

Shareholder

ejs@stevenslee.com

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Princeton: 609.987.7050

New York: 646.254.6391

William P. Thornton, Jr.

Shareholder

wpt@stevenslee.com

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Philadelphia: 215.496.3820

Reading: 610.478.2020

Elizabeth A. Ware

Associate

eaw@stevenslee.com

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Reading: 610.478.2210

Donald E. Wieand

Shareholder

dew@stevenslee.com

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Allentown: 610.997.5071

Joseph E. Wolfson

Shareholder

jwo@stevenslee.com

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Valley Forge: 610.205.6019

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