Broker-Dealer, Securities and Life Insurance Product Litigation

Stevens & Lee’s team represents broker-dealers, life insurance companies, registered investment advisers (RIAs), banks, trust companies, hedge funds, SEC registrants, directors and officers of publicly traded companies and other financial professionals nationwide in all manner of claims relating to the sale and purchase of securities and life insurance products.

Our securities and life insurance product litigators defend financial services firms and individuals in all manner of disputes, including sales practice, suitability, fiduciary duty, churning, commission, market conduct, asset allocation, trustee and statutory-based claims. We have achieved successful trial verdicts, obtained early case dismissals of frivolous claims and negotiated favorable settlements on behalf of national and regional broker-dealers, Fortune 100 life insurance companies, investment managers and registered individuals.

Stevens & Lee frequently defends broker-dealers, RIAs and registered individuals in SEC, FINRA and state securities commission investigations and enforcement actions. In connection with regulatory and SRO defense, we often defend firms and individuals in insider trading inquiries, alleged securities law violations, sales practice matters and all manner of allegations concerning supervisory oversight.

In this national practice, Stevens & Lee has represented financial firms and professionals in claims and investigations in California, Pennsylvania, Florida, New York, New Jersey, Connecticut, Massachusetts, New Hampshire, Maryland, Delaware, Georgia, North Carolina, Virginia, West Virginia, South Carolina, Alabama, Tennessee, Louisiana, Arizona, New Mexico, Nevada, Texas, Washington, Minnesota, Missouri, Wisconsin, Utah, Nebraska, Colorado, Ohio, Michigan, Illinois and Hawaii. In certain jurisdictions, we work with local counsel and have a 100% success rate at obtaining admission pro hac vice to represent our clients’ interests.

Our representative clients include MassMutual, MML Investors Services, Wells Fargo, Oppenheimer Funds, Voya Financial, Janney Montgomery Scott, One Beacon Insurance Company, National Life, Equity Services, Haverford Trust Company, Haverford Trust Securities and multiple regional banks, broker-dealers and registered investment advisers.

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Julie E. Ravis
Julie E. Ravis
Representative Cases
Service Areas
Antitrust and Unfair Competition
Appellate Litigation
Banking and Financial Services Litigation
Business and Commercial Litigation
Class Action
Corporate Plaintiff’s Litigation
Defamation, Privacy and First Amendment
Directors’ and Officers’ Liability Litigation
E-Discovery and Data Management Services
Environmental Litigation
ERISA and Employee Benefits Litigation
Ethics and Professional Responsibility
Franchise and Distribution Protection and Litigation
Information Technology Disputes and Litigation
Insurance and Reinsurance Litigation
Mediation, Neutral Services and Alternative Dispute Resolution
Municipal and Government Liability
Real Estate Litigation
Senior Investor Compliance Services
Stockholder and Shareholder Derivative Litigation
Trade Secrets and Covenants Not To Compete
Related Industries
Financial Institutions
Insurance
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