Financial Services
and Securities Law Firm
The financial services and securities industries operate at the intersection of capital, innovation, and rigorous regulation. Whether you are an investment bank, a private fund, a broker-dealer, or a financial technology company, you require legal counsel that understands both the transactional demands and the potential enforcement risks, from both the Plaintiff and defense sides. Dynamis LLP attorneys provides comprehensive legal support across the full spectrum of financial services law and securities regulation, allowing you to navigate complexity with confidence. Contact us today for a consultation.
Core Securities and Financial Services Practice Areas
Our team combines deep market knowledge with aggressive litigation experience to protect your interests in transactional matters, regulatory compliance, and high-stakes disputes.
Regulatory Compliance and SEC Enforcement Defense
SEC compliance and defense: We proactively advise financial institutions and their principals on adhering to federal and state securities regulation guidelines, particularly in the crypto and digital asset space.
SEC Investigations and Defense: Providing experienced defense counsel against investigations by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), and state regulators.
Anti-Money Laundering (AML) & Sanctions: Developing robust compliance programs and providing counsel on complex reporting requirements.
Securities Litigation and Investor Disputes
When disputes escalate, our numerous trial attorneys are prepared to defend your business and personnel. We handle complex securities and financial services litigation in federal and state courts, as well as mandatory arbitration forums.
Investor Class Actions & Derivative Suits
Breach of Fiduciary Duty Claims
Founders Disputes
Disputes related to Public Offerings and Disclosure
FINRA Arbitration and Mediation
Why Choose Dynamis LLP for Financial Services Law?
Deep Industry Experience: Our attorneys possess specialized expertise in the nuances of financial markets and securities litigation.
Proactive Risk Mitigation: We focus on advising clients how to maintain a strong regulatory compliance posture to prevent litigation before it starts.
Results-Driven Advocacy: We are dedicated litigators, ready to defend your business in the most challenging securities enforcement matters.
Experience and Results in Securities and Financial Services Litigation
Represented senior banking executive in SEC investigation into use of personal devices for work-related business. No action taken against executive.
Represented real estate executive in civil action brought by Colorado Securities Commission. The Commission alleged fraud of nearly $2 million. After aggressive advocacy by Dynamis LLP. the case ended with a “no admit no deny” stipulation and no monetary penalty.
Representing multiple individuals accused of securities fraud in parallel DOJ and SEC investigations. Many of the charges are related to alleged pump and dump schemes involving social media. In one case that was resolved prior to Indictment, United States v. Steve Gallagher, the government agreed, after significant advocacy, reduced the “loss” amount from $1.2 million to $21,000, which secured a non-incarceration sentence.
Representing owner of crypto-oriented venture capital fund in testimony before the SEC. No charges were brought against this executive.
Representing key executive in securities fraud revenue recognition case under investigation by the Department of Justice and FBI in the District of Rhode Island, together with the parallel SEC action. Dynamis has significant experience in revenue recognition securities fraud cases, helping executives navigate these tricky waters.
Representing whistleblower in complaint to SEC concerning the alleged revenue and profits at the company the whistleblower worked at.
Represented investors in alleging securities fraud arising from misrepresentations to induce a $20 million pre-IPO investment. The purchase was successfully rescinded on the clients’ behalf.
Representing investors in securities fraud claims against publicly-traded corporation that misrepresented the sustainability and profitability of its offshore operations. The case is at the motion to dismiss stage in the Southern District of New York.
Obtained settlement on behalf of class of investors who were damaged when nationwide health-device company restated multiple years of financials. The case settled for eight figures on behalf of the class.
Went to trial against the SEC in the District of Massachusetts in the case of SEC v. Thomas Capellini. Defeated the SEC at trial.
These are just a few of the many securities and financial services cases that Dynamis attorneys have done over the course of their careers.