Administrative When it counts
Many of our litigators and transactional lawyers have substantial experience representing clients before federal, state, and local administrative agencies, ranging from the Department of Transportation and the Internal Revenue Service to county alcoholic beverage boards.
- INSIGHTS & EVENTS
- A Barnes & Thornburg attorney represented a broker-dealer in connection with investigations conducted by SEC, NASD, NYSE and several state securities regulators in connection with multiple claims of churning and unsuitable and unauthorized trades against registered representative. No action was taken against broker-dealer.
- A Barnes & Thornburg attorney represented an insurance company in a case involving alleged failure to register securities and failure to deliver prospectuses. The Illinois Securities Department voluntarily dismissed the claims.
- A Barnes & Thornburg attorney successfully defended a self-directed IRA custodian in in an administrative enforcement action filed by the State Securities Commissioner, in which the client was alleged to be operating as an unregistered broker-dealer. The client's motion for summary judgment was granted and all claims were dismissed.
- Barnes & Thornburg attorneys represented a financial advisor in a case brought by a state Securities Commissioner, alleging securities fraud. The claims were dismissed for failure to state a claim.
- On behalf of securities agent client, a Barnes & Thornburg attorney obtained voluntary dismissal by state securities division of its administrative complaint seeking to revocation of the agent's license.