Bressler, Amery & Ross
Bressler, Amery & Ross is nationally recognized for its practice in the area of securities litigation and regulation. For over 30 years, we have represented financial institutions, individuals, investment and financial advisory firms, and investment funds and advisors before state and federal courts and regulatory bodies throughout the nation. Our clients include many of the leading national brokerage and clearing firms, as well as regional firms. The firm defends brokerage firms, hedge funds, hedge fund advisors and consultants, and associated persons in individual actions, class actions, and mass action litigation in state and federal courts and in arbitrations before the securities industry’s self-regulatory organizations and the American Arbitration Association. These cases include allegations such as misrepresentation, due diligence, fraud, unsuitability, churning, conflicts of interest involving firm research departments and individual research analysts, improper mutual fund sales practices, fraud in underwriting, and other similar issues. Despite our expertise in these areas, our practice extends well beyond litigation and arbitration. We represent firms and associated persons in connection with formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority, state regulatory bodies, and state attorneys general. We advise our clients on internal policies and procedures designed to minimize the risk of litigation or regulatory inquiries and proceedings and assist with intercompany and industry agreements and disputes. We also provide advice in the formation and registration of broker-dealers, the transfer and ownership of existing firms, and firm and individual licensing with state regulatory agencies and FINRA.