Securities & Investment Professional Liability Practice Group

Our Securities & Investment Practice Group services a broad client base, including, but not limited to: registered representatives, financial planners, investment advisors, broker-dealers, hedge fund and mutual fund administrators, financial services outsourcing solution providers, private trust companies and insurance brokers/agents. We also handle fiduciary liability matters, corporate directors and officers and employment practice liability matters. In addition to professional liability matters in state and federal courts, we defend brokers and broker-dealers before self-regulatory organizations, state agencies and the SEC. We handle securities arbitration claims before FINRA, AAA and other SRO's.

Founded in 1961, Marshall, Dennehey, Warner, Coleman & Goggin is now the largest law firm in the country devoted exclusively to civil defense litigation. We have over 400 attorneys who staff seventeen offices strategically located throughout New Jersey, Pennsylvania, Florida, Delaware and Ohio, servicing all counties within these states. Our offices are centrally linked by state-of-the-art computer networking. Our clients realize a number of benefits from our extensive network of offices: travel time is sharply reduced and the attorneys working out of these offices and living in these respective areas are intimately familiar with the local practice and enjoy a good rapport with the local judges before whom they frequently appear.

We also handle FINRA matters in many regions within the United States.

Recognizing the need for a cost-effective approach to the defense of professionals and organizations, our firm is dedicated to providing our clients with quality, timely and economical service. We are on the cutting-edge in developing innovative and alternative billing practices.

We would welcome the opportunity to work with you in handling your securities professional liability matters. We are also available to conduct presentations, as well as training or compliance seminars at your location, or at one of our seventeen offices. Kindly direct inquiries and referrals to: