Financial Services Compliance

Butzel Long's financial services litigation team represents many large banking and financial institutions on financial services compliance issues. We maintain a diverse administrative and agency practice. Our team has practiced at or before the Department of Defense, the Department of Justice, the Federal Communications Commission, the Federal Trade Commission, the Financial Industry Regulatory Authority (FINRA), the Food and Drug Administration, the International Trade Commission, the National Futures Association, and the Securities and Exchange Commission. We specialize in antitrust, enforcement actions, federal acquisitions policy, federal security clearances, financial regulations, government contracts, international trade and customs, securities law, telecommunications law, and white collar criminal matters. Our attorneys have extensive knowledge of the complex laws and regulations affecting financial institutions on the local, state, and federal levels.

  • Successfully defeated claims by a major NYSE firm in a New York Stock Exchange arbitration in connection with a broker dealer's settlement of customer claims