Client Endorsements for the Meagher & Geer Securities & Financial Services Group

Transcription

1 OLUTION SECURITIES & FINANCIAL SERVICES GROUP Experienced Pragmatic Effective Client Endorsements for the Meagher & Geer Securities & Financial Services Group I have hired Livia [Babcock] on multiple occasions to assist me with matters in. Every time I have needed her, she has provided excellent service and results. Livia s work product is fantastic, she is responsive, and is simply easy to work with. Christopher Pickett Officer at Greensfelder, Hemker & Gale, P.C. Charles [Jones] helped me with a professional liability deposition, and I could not have asked for a better attorney. His hands-on manner, very detail oriented, and exceptional quality workmanship provided this usually dreaded testimony a very comfortable feeling. To this day I would call Charles in a minute if I ever needed professional liability counsel in my career as a Certified Public Accountant. I highly recommend him and cannot say adequately how much I valued his services and commitment to my case. Michele A. Karas Financial Restoration & Accounting Services meagher.com

2 Meagher & Geer s Securities and Financial Services attorneys understand the challenging economic climate and increased regulatory scrutiny faced by professionals in the financial services industry. Our attorneys have extensive experience defending these professionals in court and arbitration proceedings and representing them in regulatory proceedings. We also counsel companies and individuals on employment matters, and we have significant experience litigating noncompete, trade secret, and other post-employment covenant issues in the financial services industry. LITIGATION Attorneys in the Securities and Financial Services group represent financial professionals and broker-dealers in customer disputes before the Financial Industry Regulatory Authority (FINRA, formerly NASD). These cases involve claims of violations of state and federal securities laws, rules, and regulations, common law fraud, breach of fiduciary duty, unsuitability, churning, negligence, and due diligence. Attorneys in this group also represent financial planners, investment advisors, accountants, insurance companies, agents, and brokers and financial institutions in state and federal court when they are facing claims for acts or omissions in rendering or failing to render professional services. REGULATORY Our Securities and Financial Services attorneys represent individuals in licensing, investigation, and disciplinary proceedings before state and federal regulators, including the Department of Commerce and the Board of Accountancy, as well as non-governmental certification entities, including the Certified Financial Planner Board. EMPLOYMENT MATTERS Our attorneys also provide counseling to firms and individuals regarding recruitment and transition issues unique to the financial services industry, including confidentiality and application of the Gramm-Leach-Bliley Act and Regulation S-P, the Protocol for Broker Recruiting, and application of state trade secret and restrictive covenant laws. Members of our group are often in state and federal court moving for or defending against motions for temporary restraining orders and injunctive relief. Our knowledge of issues peculiar to the financial services industry allows us to provide quick, thorough, and efficient representation in these often time-sensitive matters. I enjoy helping a client resolve a problem. Whether I am defending financial professionals facing claims of securities fraud or litigating emergency TROs involving noncompete and trade secret issues, I know that my client s livelihood is at stake. When we win, it motivates me for the next challenge. Livia Babcock, Group Head Securities & Financial Services Group The Meagher & Geer law firm is approved by many insurance carriers as professional liability panel counsel on either a state or regional basis. We value the relationships and trust that we have built in the professional and insurance communities. RELATED PRACTICE AREAS Employment Commercial Litigation Corporate/Business Services Professional Liability Meagher & Geer is an active member of The Harmonie Group, a network of law firms that provides complex litigation and trial services to corporate and individual clients across the country.

3 Securities and Financial Services Livia E. Babcock, Partner Phone: 612 / Livia leads our Securities and Financial Services practice. She represents broker-dealers and registered representatives in customer disputes in arbitrations before the Financial Industry Regulatory Authority (FINRA) and other forums. Livia also counsels companies and individuals on recruitment, transition, noncompete, and trade secret matters, and when necessary, she aggressively litigates these issues for her clients. Livia is licensed in and Wisconsin. Successful Results Defended broker-dealers and registered representatives in multiple FINRA arbitrations involving due diligence and the sale of DBSI and Geneva offerings, ultimately resolving all claims on favorable terms. Edward D. Jones & Co. v. Kadletz, 12-cv-1875 (Brown County, Wis. 2012). Obtained TRO against former financial advisor. Edward D. Jones & Co. v. Myers, 19HA-cv (Dakota County, Minn. 2012). Obtained TRO against former financial advisor. Natzel v. Sajan, Inc., 27-cv (Hennepin County, Minn. 2010). Successfully defended against plaintiffs TRO motion. Massood v. First MidAmerica Investment Corp., FINRA Arb Successfully defended broker-dealer and registered representative against customer s claims of unsuitability and securities fraud. What Differentiates Us? Our Securities and Financial Services Team has a broad array of experience representing individuals and companies in the financial services industry, including broker-dealers, registered representatives, registered investment advisors, insurance companies and agents, accountants, and other financial professionals. We have successfully defended clients against professional malpractice claims in state and federal court and multiple arbitration forums. Our attorneys have also represented individuals in licensing, investigation, and disciplinary proceedings before regulators and non-governmental certification organizations, including the Department of Commerce, State Board of Accountants, and the Certified Financial Planner Board. Our Team s securities and financial services experience includes matters involving: 1 State and federal securities fraud 1 Suitability and due diligence claims 1 Accountant malpractice 1 Noncompete, non-solicitation, and trade secret matters 1 Protocol for Broker Recruiting Livia E. Babcock Practice Areas Securities and Financial Services Professional Liability (Broker-dealers, registered representatives, and insurance professionals) Commercial Litigation (Director & officer claims, shareholder and general business disputes) Employment (Litigation and counseling on noncompete, non-solicitation, and trade secrets) Education Hamline University School of Law, J.D., magna cum laude, 1999 St. Olaf College, B.A., 1996 State Bar Admissions Wisconsin Federal Court Admissions United States Court of Appeals, Eighth Circuit United States District Court, District of United States District Court, Eastern District of Michigan lbabcock@ 612 /

4 Laura Sands, Attorney Securities & Financial Services Group Livia Babcock, Group Head Partner Phone: 612 / lsands@ Phone: 612 / Arizona Office John Hendricks, Partner jhendricks@ Phone: 480 / Livia leads our Securities & Financial Services practice. She represents broker-dealers, registered representatives, and other financial industry professionals in customer and industry disputes before the Financial Industry Regulatory Authority (FINRA) and other forums. Kurt Zitzer, Partner kzitzer@ Phone: 480 / Mark Bloomquist, Partner mbloomquist@ Phone: 612 / Kathleen Beiermeister, Attorney kbeiermeister@ Phone: 480 / Bradley Jones, Partner bjones@ Phone: 612 / Charles Jones, Partner cjones@ Phone: 612 / Debra Weiss, Partner dweiss@ Phone: 612 / South Sixth Street, Suite 4400 Minneapolis, MN / Arizona 8800 North Gainey Center Drive, Suite 261 Scottsdale, AZ /

5 Securities & Financial Services Group 33 South Sixth Street Suite 4400 Minneapolis, MN Phone: 612/ Fax: 612/ Arizona 8800 North Gainey Center Drive Suite 261 Scottsdale, AZ Phone: 480/ Fax: 480/